NIST SP800-53
ACCESS CONTROL
AC-1 ACCESS CONTROL POLICY AND PROCEDURES
Label: INSERT into ac-1_smt_a (AC-1a.)
Parameter: ac-1_prm_1 organization-defined personnel or roles
Label: INSERT into ac-1_smt_b.1 (AC-1b.1.)
Parameter: ac-1_prm_2 organization-defined frequency
Label: INSERT into ac-1_smt_b.2 (AC-1b.2.)
Parameter: ac-1_prm_3 organization-defined frequency
Control
|
The organization:
|
Supplemental guidance
This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the AC family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Access control policy and procedures
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with access control responsibilities
organizational personnel with information security responsibilities
AC-2 ACCOUNT MANAGEMENT
Label: INSERT into ac-2_smt_a (AC-2a.)
Parameter: ac-2_prm_1 organization-defined information system account types
Label: INSERT into ac-2_smt_e (AC-2e.)
Parameter: ac-2_prm_2 organization-defined personnel or roles
Label: INSERT into ac-2_smt_f (AC-2f.)
Parameter: ac-2_prm_3 organization-defined procedures or conditions
Label: INSERT into ac-2_smt_j (AC-2j.)
Parameter: ac-2_prm_4 organization-defined frequency
Control
|
The organization:
|
Supplemental guidance
Information system account types include, for example, individual, shared, group, system, guest/anonymous, emergency, developer/manufacturer/vendor, temporary, and service. Some of the account management requirements listed above can be implemented by organizational information systems. The identification of authorized users of the information system and the specification of access privileges reflects the requirements in other security controls in the security plan. Users requiring administrative privileges on information system accounts receive additional scrutiny by appropriate organizational personnel (e.g., system owner, mission/business owner, or chief information security officer) responsible for approving such accounts and privileged access. Organizations may choose to define access privileges or other attributes by account, by type of account, or a combination of both. Other attributes required for authorizing access include, for example, restrictions on time-of-day, day-of-week, and point-of-origin. In defining other account attributes, organizations consider system-related requirements (e.g., scheduled maintenance, system upgrades) and mission/business requirements, (e.g., time zone differences, customer requirements, remote access to support travel requirements). Failure to consider these factors could affect information system availability. Temporary and emergency accounts are accounts intended for short-term use. Organizations establish temporary accounts as a part of normal account activation procedures when there is a need for short-term accounts without the demand for immediacy in account activation. Organizations establish emergency accounts in response to crisis situations and with the need for rapid account activation. Therefore, emergency account activation may bypass normal account authorization processes. Emergency and temporary accounts are not to be confused with infrequently used accounts (e.g., local logon accounts used for special tasks defined by organizations or when network resources are unavailable). Such accounts remain available and are not subject to automatic disabling or removal dates. Conditions for disabling or deactivating accounts include, for example: (i) when shared/group, emergency, or temporary accounts are no longer required; or (ii) when individuals are transferred or terminated. Some types of information system accounts may require specialized training.
cf AC-4: INFORMATION FLOW ENFORCEMENT
cf AC-10: CONCURRENT SESSION CONTROL
cf AC-19: ACCESS CONTROL FOR MOBILE DEVICES
cf AC-20: USE OF EXTERNAL INFORMATION SYSTEMS
cf AU-9: PROTECTION OF AUDIT INFORMATION
cf IA-2: IDENTIFICATION AND AUTHENTICATION (ORGANIZATIONAL USERS)
cf IA-4: IDENTIFIER MANAGEMENT
cf IA-5: AUTHENTICATOR MANAGEMENT
cf IA-8: IDENTIFICATION AND AUTHENTICATION (NON-ORGANIZATIONAL USERS)
cf CM-5: ACCESS RESTRICTIONS FOR CHANGE
cf CM-6: CONFIGURATION SETTINGS
cf CM-11: USER-INSTALLED SOFTWARE
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Access control policy
procedures addressing account management
security plan
information system design documentation
information system configuration settings and associated documentation
list of active system accounts along with the name of the individual associated with each account
list of conditions for group and role membership
notifications or records of recently transferred, separated, or terminated employees
list of recently disabled information system accounts along with the name of the individual associated with each account
access authorization records
account management compliance reviews
information system monitoring records
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with account management responsibilities
system/network administrators
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes account management on the information system
automated mechanisms for implementing account management
Control enhancements
AC-2 (1) AUTOMATED SYSTEM ACCOUNT MANAGEMENT
Control
|
The organization employs automated mechanisms to support the management of information system accounts. |
Supplemental guidance
The use of automated mechanisms can include, for example: using email or text messaging to automatically notify account managers when users are terminated or transferred; using the information system to monitor account usage; and using telephonic notification to report atypical system account usage.
Objective
|
Determine if the organization employs automated mechanisms to support the management of information system accounts. |
Assessment: EXAMINE
Access control policy
procedures addressing account management
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with account management responsibilities
system/network administrators
organizational personnel with information security responsibilities
system developers
Assessment: TEST
Automated mechanisms implementing account management functions
AC-2 (2) REMOVAL OF TEMPORARY / EMERGENCY ACCOUNTS
Label: SELECT for { ancestor-or-self::*[@id][1]/@id }
removes
disables
Label: INSERT into ac-2..2.
Parameter: ac-2_prm_6 organization-defined time period for each type of account
Control
|
The information system automatically ac-2_prm_5 SELECT for { ancestor-or-self::*[@id][1]/@id } removes disables [NO PARAMETER VALUE GIVEN] temporary and emergency accounts after ac-2_prm_6 INSERT into ac-2..2. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
This control enhancement requires the removal of both temporary and emergency accounts automatically after a predefined period of time has elapsed, rather than at the convenience of the systems administrator.
Objectives
|
Determine if:
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Assessment: EXAMINE
Access control policy
procedures addressing account management
security plan
information system design documentation
information system configuration settings and associated documentation
information system-generated list of temporary accounts removed and/or disabled
information system-generated list of emergency accounts removed and/or disabled
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with account management responsibilities
system/network administrators
organizational personnel with information security responsibilities
system developers
Assessment: TEST
Automated mechanisms implementing account management functions
AC-2 (3) DISABLE INACTIVE ACCOUNTS
Label: INSERT into ac-2..3.
Parameter: ac-2_prm_7 organization-defined time period
Control
|
The information system automatically disables inactive accounts after ac-2_prm_7 INSERT into ac-2..3. [NO PARAMETER VALUE GIVEN] . |
Objectives
|
Determine if:
|
Assessment: EXAMINE
Access control policy
procedures addressing account management
security plan
information system design documentation
information system configuration settings and associated documentation
information system-generated list of temporary accounts removed and/or disabled
information system-generated list of emergency accounts removed and/or disabled
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with account management responsibilities
system/network administrators
organizational personnel with information security responsibilities
system developers
Assessment: TEST
Automated mechanisms implementing account management functions
AC-2 (4) AUTOMATED AUDIT ACTIONS
Label: INSERT into ac-2..4.
Parameter: ac-2_prm_8 organization-defined personnel or roles
Control
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The information system automatically audits account creation, modification, enabling, disabling, and removal actions, and notifies ac-2_prm_8 INSERT into ac-2..4. [NO PARAMETER VALUE GIVEN] . |
Objectives
|
Determine if:
|
Assessment: EXAMINE
Access control policy
procedures addressing account management
information system design documentation
information system configuration settings and associated documentation
notifications/alerts of account creation, modification, enabling, disabling, and removal actions
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with account management responsibilities
system/network administrators
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms implementing account management functions
AC-2 (5) INACTIVITY LOGOUT
Label: INSERT into ac-2..5.
Parameter: ac-2_prm_9 organization-defined time-period of expected inactivity or description of when to log out
Control
|
The organization requires that users log out when ac-2_prm_9 INSERT into ac-2..5. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Access control policy
procedures addressing account management
security plan
information system design documentation
information system configuration settings and associated documentation
security violation reports
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with account management responsibilities
system/network administrators
organizational personnel with information security responsibilities
users that must comply with inactivity logout policy
AC-2 (6) DYNAMIC PRIVILEGE MANAGEMENT
Label: INSERT into ac-2..6.
Parameter: ac-2_prm_10 organization-defined list of dynamic privilege management capabilities
Control
|
The information system implements the following dynamic privilege management capabilities: ac-2_prm_10 INSERT into ac-2..6. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
In contrast to conventional access control approaches which employ static information system accounts and predefined sets of user privileges, dynamic access control approaches (e.g., service-oriented architectures) rely on run time access control decisions facilitated by dynamic privilege management. While user identities may remain relatively constant over time, user privileges may change more frequently based on ongoing mission/business requirements and operational needs of organizations. Dynamic privilege management can include, for example, the immediate revocation of privileges from users, as opposed to requiring that users terminate and restart their sessions to reflect any changes in privileges. Dynamic privilege management can also refer to mechanisms that change the privileges of users based on dynamic rules as opposed to editing specific user profiles. This type of privilege management includes, for example, automatic adjustments of privileges if users are operating out of their normal work times, or if information systems are under duress or in emergency maintenance situations. This control enhancement also includes the ancillary effects of privilege changes, for example, the potential changes to encryption keys used for communications. Dynamic privilege management can support requirements for information system resiliency.
Objectives
|
Determine if:
|
Assessment: EXAMINE
Access control policy
procedures addressing account management
information system design documentation
information system configuration settings and associated documentation
system-generated list of dynamic privilege management capabilities
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with account management responsibilities
system/network administrators
organizational personnel with information security responsibilities
system developers
Assessment: TEST
Information system implementing dynamic privilege management capabilities
AC-2 (7) ROLE-BASED SCHEMES
Label: INSERT into ac-2..7._smt_c (AC-2 (7)(c))
Parameter: ac-2_prm_11 organization-defined actions
Control
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The organization:
|
Supplemental guidance
Privileged roles are organization-defined roles assigned to individuals that allow those individuals to perform certain security-relevant functions that ordinary users are not authorized to perform. These privileged roles include, for example, key management, account management, network and system administration, database administration, and web administration.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Access control policy
procedures addressing account management
information system design documentation
information system configuration settings and associated documentation
information system-generated list of privileged user accounts and associated role
records of actions taken when privileged role assignments are no longer appropriate
information system audit records
audit tracking and monitoring reports
information system monitoring records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with account management responsibilities
system/network administrators
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms implementing account management functions
automated mechanisms monitoring privileged role assignments
AC-2 (8) DYNAMIC ACCOUNT CREATION
Label: INSERT into ac-2..8.
Parameter: ac-2_prm_12 organization-defined information system accounts
Control
|
The information system creates ac-2_prm_12 INSERT into ac-2..8. [NO PARAMETER VALUE GIVEN] dynamically. |
Supplemental guidance
Dynamic approaches for creating information system accounts (e.g., as implemented within service-oriented architectures) rely on establishing accounts (identities) at run time for entities that were previously unknown. Organizations plan for dynamic creation of information system accounts by establishing trust relationships and mechanisms with the appropriate authorities to validate related authorizations and privileges.
Objectives
|
Determine if:
|
Assessment: EXAMINE
Access control policy
procedures addressing account management
information system design documentation
information system configuration settings and associated documentation
system-generated list of information system accounts
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with account management responsibilities
system/network administrators
organizational personnel with information security responsibilities
system developers
Assessment: TEST
Automated mechanisms implementing account management functions
AC-2 (9) RESTRICTIONS ON USE OF SHARED / GROUP ACCOUNTS
Label: INSERT into ac-2..9.
Parameter: ac-2_prm_13 organization-defined conditions for establishing shared/group accounts
Control
|
The organization only permits the use of shared/group accounts that meet ac-2_prm_13 INSERT into ac-2..9. [NO PARAMETER VALUE GIVEN] . |
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Access control policy
procedures addressing account management
information system design documentation
information system configuration settings and associated documentation
system-generated list of shared/group accounts and associated role
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with account management responsibilities
system/network administrators
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms implementing management of shared/group accounts
AC-2 (10) SHARED / GROUP ACCOUNT CREDENTIAL TERMINATION
Control
|
The information system terminates shared/group account credentials when members leave the group. |
Objective
|
Determine if the information system terminates shared/group account credentials when members leave the group. |
Assessment: EXAMINE
Access control policy
procedures addressing account management
information system design documentation
information system configuration settings and associated documentation
account access termination records
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with account management responsibilities
system/network administrators
organizational personnel with information security responsibilities
system developers
Assessment: TEST
Automated mechanisms implementing account management functions
AC-2 (11) USAGE CONDITIONS
Label: INSERT into ac-2..11.
Parameter: ac-2_prm_14 organization-defined circumstances and/or usage conditions
Label: INSERT into ac-2..11.
Parameter: ac-2_prm_15 organization-defined information system accounts
Control
|
The information system enforces ac-2_prm_14 INSERT into ac-2..11. [NO PARAMETER VALUE GIVEN] for ac-2_prm_15 INSERT into ac-2..11. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Organizations can describe the specific conditions or circumstances under which information system accounts can be used, for example, by restricting usage to certain days of the week, time of day, or specific durations of time.
Objectives
|
Determine if:
|
Assessment: EXAMINE
Access control policy
procedures addressing account management
information system design documentation
information system configuration settings and associated documentation
system-generated list of information system accounts and associated assignments of usage circumstances and/or usage conditions
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with account management responsibilities
system/network administrators
organizational personnel with information security responsibilities
system developers
Assessment: TEST
Automated mechanisms implementing account management functions
AC-2 (12) ACCOUNT MONITORING / ATYPICAL USAGE
Label: INSERT into ac-2..12._smt_a (AC-2 (12)(a))
Parameter: ac-2_prm_16 organization-defined atypical usage
Label: INSERT into ac-2..12._smt_b (AC-2 (12)(b))
Parameter: ac-2_prm_17 organization-defined personnel or roles
Control
|
The organization:
|
Supplemental guidance
Atypical usage includes, for example, accessing information systems at certain times of the day and from locations that are not consistent with the normal usage patterns of individuals working in organizations.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Access control policy
procedures addressing account management
information system design documentation
information system configuration settings and associated documentation
information system monitoring records
information system audit records
audit tracking and monitoring reports
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with account management responsibilities
system/network administrators
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms implementing account management functions
AC-2 (13) DISABLE ACCOUNTS FOR HIGH-RISK INDIVIDUALS
Label: INSERT into ac-2..13.
Parameter: ac-2_prm_18 organization-defined time period
Control
|
The organization disables accounts of users posing a significant risk within ac-2_prm_18 INSERT into ac-2..13. [NO PARAMETER VALUE GIVEN] of discovery of the risk. |
Supplemental guidance
Users posing a significant risk to organizations include individuals for whom reliable evidence or intelligence indicates either the intention to use authorized access to information systems to cause harm or through whom adversaries will cause harm. Harm includes potential adverse impacts to organizational operations and assets, individuals, other organizations, or the Nation. Close coordination between authorizing officials, information system administrators, and human resource managers is essential in order for timely execution of this control enhancement.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Access control policy
procedures addressing account management
information system design documentation
information system configuration settings and associated documentation
system-generated list of disabled accounts
list of user activities posing significant organizational risk
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with account management responsibilities
system/network administrators
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms implementing account management functions
References: None
AC-3 ACCESS ENFORCEMENT
Control
|
The information system enforces approved authorizations for logical access to information and system resources in accordance with applicable access control policies. |
Supplemental guidance
Access control policies (e.g., identity-based policies, role-based policies, control matrices, cryptography) control access between active entities or subjects (i.e., users or processes acting on behalf of users) and passive entities or objects (e.g., devices, files, records, domains) in information systems. In addition to enforcing authorized access at the information system level and recognizing that information systems can host many applications and services in support of organizational missions and business operations, access enforcement mechanisms can also be employed at the application and service level to provide increased information security.
cf AC-4: INFORMATION FLOW ENFORCEMENT
cf AC-19: ACCESS CONTROL FOR MOBILE DEVICES
cf AC-20: USE OF EXTERNAL INFORMATION SYSTEMS
cf AC-22: PUBLICLY ACCESSIBLE CONTENT
cf AU-9: PROTECTION OF AUDIT INFORMATION
cf CM-5: ACCESS RESTRICTIONS FOR CHANGE
cf CM-6: CONFIGURATION SETTINGS
cf CM-11: USER-INSTALLED SOFTWARE
Objective
|
Determine if the information system enforces approved authorizations for logical access to information and system resources in accordance with applicable access control policies. |
Assessment: EXAMINE
Access control policy
procedures addressing access enforcement
information system design documentation
information system configuration settings and associated documentation
list of approved authorizations (user privileges)
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with access enforcement responsibilities
system/network administrators
organizational personnel with information security responsibilities
system developers
Assessment: TEST
Automated mechanisms implementing access control policy
Control enhancements
AC-3 (1) RESTRICTED ACCESS TO PRIVILEGED FUNCTIONS
Control
|
Withdrawn: Incorporated into AC-6. |
AC-3 (2) DUAL AUTHORIZATION
Label: INSERT into ac-3..2.
Parameter: ac-3_prm_1 organization-defined privileged commands and/or other organization-defined actions
Control
|
The information system enforces dual authorization for ac-3_prm_1 INSERT into ac-3..2. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Dual authorization mechanisms require the approval of two authorized individuals in order to execute. Organizations do not require dual authorization mechanisms when immediate responses are necessary to ensure public and environmental safety. Dual authorization may also be known as two-person control.
Objectives
|
Determine if:
|
Assessment: EXAMINE
Access control policy
procedures addressing access enforcement and dual authorization
security plan
information system design documentation
information system configuration settings and associated documentation
list of privileged commands requiring dual authorization
list of actions requiring dual authorization
list of approved authorizations (user privileges)
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with access enforcement responsibilities
system/network administrators
organizational personnel with information security responsibilities
system developers
Assessment: TEST
Dual authorization mechanisms implementing access control policy
AC-3 (3) MANDATORY ACCESS CONTROL
Label: INSERT into ac-3..3.
Parameter: ac-3_prm_2 organization-defined mandatory access control policy
Label: INSERT into ac-3..3._smt_c (AC-3 (3)(c))
Parameter: ac-3_prm_3 organization-defined subjects
Label: INSERT into ac-3..3._smt_c (AC-3 (3)(c))
Parameter: ac-3_prm_4 organization-defined privileges (i.e., they are trusted subjects)
Control
|
The information system enforces ac-3_prm_2 INSERT into ac-3..3. [NO PARAMETER VALUE GIVEN] over all subjects and objects where the policy:
|
Supplemental guidance
Mandatory access control as defined in this control enhancement is synonymous with nondiscretionary access control, and is not constrained only to certain historical uses (e.g., implementations using the Bell-LaPadula Model). The above class of mandatory access control policies constrains what actions subjects can take with information obtained from data objects for which they have already been granted access, thus preventing the subjects from passing the information to unauthorized subjects and objects. This class of mandatory access control policies also constrains what actions subjects can take with respect to the propagation of access control privileges; that is, a subject with a privilege cannot pass that privilege to other subjects. The policy is uniformly enforced over all subjects and objects to which the information system has control. Otherwise, the access control policy can be circumvented. This enforcement typically is provided via an implementation that meets the reference monitor concept (see AC-25). The policy is bounded by the information system boundary (i.e., once the information is passed outside of the control of the system, additional means may be required to ensure that the constraints on the information remain in effect). The trusted subjects described above are granted privileges consistent with the concept of least privilege (see AC-6). Trusted subjects are only given the minimum privileges relative to the above policy necessary for satisfying organizational mission/business needs. The control is most applicable when there is some policy mandate (e.g., law, Executive Order, directive, or regulation) that establishes a policy regarding access to sensitive/classified information and some users of the information system are not authorized access to all sensitive/classified information resident in the information system. This control can operate in conjunction with AC-3 (4). A subject that is constrained in its operation by policies governed by this control is still able to operate under the less rigorous constraints of AC-3 (4), but policies governed by this control take precedence over the less rigorous constraints of AC-3 (4). For example, while a mandatory access control policy imposes a constraint preventing a subject from passing information to another subject operating at a different sensitivity label, AC-3 (4) permits the subject to pass the information to any subject with the same sensitivity label as the subject.
Objectives
|
Determine if:
|
Assessment: EXAMINE
Access control policy
mandatory access control policies
procedures addressing access enforcement
security plan
information system design documentation
information system configuration settings and associated documentation
list of subjects and objects (i.e., users and resources) requiring enforcement of mandatory access control policies
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with access enforcement responsibilities
system/network administrators
organizational personnel with information security responsibilities
system developers
Assessment: TEST
Automated mechanisms implementing mandatory access control
AC-3 (4) DISCRETIONARY ACCESS CONTROL
Label: INSERT into ac-3..4.
Parameter: ac-3_prm_5 organization-defined discretionary access control policy
Control
|
The information system enforces ac-3_prm_5 INSERT into ac-3..4. [NO PARAMETER VALUE GIVEN] over defined subjects and objects where the policy specifies that a subject that has been granted access to information can do one or more of the following:
|
Supplemental guidance
When discretionary access control policies are implemented, subjects are not constrained with regard to what actions they can take with information for which they have already been granted access. Thus, subjects that have been granted access to information are not prevented from passing (i.e., the subjects have the discretion to pass) the information to other subjects or objects. This control enhancement can operate in conjunction with AC-3 (3). A subject that is constrained in its operation by policies governed by AC-3 (3) is still able to operate under the less rigorous constraints of this control enhancement. Thus, while AC-3 (3) imposes constraints preventing a subject from passing information to another subject operating at a different sensitivity level, AC-3 (4) permits the subject to pass the information to any subject at the same sensitivity level. The policy is bounded by the information system boundary. Once the information is passed outside of the control of the information system, additional means may be required to ensure that the constraints remain in effect. While the older, more traditional definitions of discretionary access control require identity-based access control, that limitation is not required for this use of discretionary access control.
Objectives
|
Determine if:
|
Assessment: EXAMINE
Access control policy
discretionary access control policies
procedures addressing access enforcement
security plan
information system design documentation
information system configuration settings and associated documentation
list of subjects and objects (i.e., users and resources) requiring enforcement of discretionary access control policies
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with access enforcement responsibilities
system/network administrators
organizational personnel with information security responsibilities
system developers
Assessment: TEST
Automated mechanisms implementing discretionary access control policy
AC-3 (5) SECURITY-RELEVANT INFORMATION
Label: INSERT into ac-3..5.
Parameter: ac-3_prm_6 organization-defined security-relevant information
Control
|
The information system prevents access to ac-3_prm_6 INSERT into ac-3..5. [NO PARAMETER VALUE GIVEN] except during secure, non-operable system states. |
Supplemental guidance
Security-relevant information is any information within information systems that can potentially impact the operation of security functions or the provision of security services in a manner that could result in failure to enforce system security policies or maintain the isolation of code and data. Security-relevant information includes, for example, filtering rules for routers/firewalls, cryptographic key management information, configuration parameters for security services, and access control lists. Secure, non-operable system states include the times in which information systems are not performing mission/business-related processing (e.g., the system is off-line for maintenance, troubleshooting, boot-up, shut down).
Objectives
|
Determine if:
|
Assessment: EXAMINE
Access control policy
procedures addressing access enforcement
security plan
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with access enforcement responsibilities
system/network administrators
organizational personnel with information security responsibilities
system developers
Assessment: TEST
Automated mechanisms preventing access to security-relevant information within the information system
AC-3 (6) PROTECTION OF USER AND SYSTEM INFORMATION
cf SC-28: PROTECTION OF INFORMATION AT REST
Control
|
Withdrawn: Incorporated into MP-4 and SC-28. |
AC-3 (7) ROLE-BASED ACCESS CONTROL
Label: INSERT into ac-3..7.
Parameter: ac-3_prm_7 organization-defined roles and users authorized to assume such roles
Control
|
The information system enforces a role-based access control policy over defined subjects and objects and controls access based upon ac-3_prm_7 INSERT into ac-3..7. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Role-based access control (RBAC) is an access control policy that restricts information system access to authorized users. Organizations can create specific roles based on job functions and the authorizations (i.e., privileges) to perform needed operations on organizational information systems associated with the organization-defined roles. When users are assigned to the organizational roles, they inherit the authorizations or privileges defined for those roles. RBAC simplifies privilege administration for organizations because privileges are not assigned directly to every user (which can be a significant number of individuals for mid- to large-size organizations) but are instead acquired through role assignments. RBAC can be implemented either as a mandatory or discretionary form of access control. For organizations implementing RBAC with mandatory access controls, the requirements in AC-3 (3) define the scope of the subjects and objects covered by the policy.
Objectives
|
Determine if:
|
Assessment: EXAMINE
Access control policy
role-based access control policies
procedures addressing access enforcement
security plan, information system design documentation
information system configuration settings and associated documentation
list of roles, users, and associated privileges required to control information system access
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with access enforcement responsibilities
system/network administrators
organizational personnel with information security responsibilities
system developers
Assessment: TEST
Automated mechanisms implementing role-based access control policy
AC-3 (8) REVOCATION OF ACCESS AUTHORIZATIONS
Label: INSERT into ac-3..8.
Parameter: ac-3_prm_8 organization-defined rules governing the timing of revocations of access authorizations
Control
|
The information system enforces the revocation of access authorizations resulting from changes to the security attributes of subjects and objects based on ac-3_prm_8 INSERT into ac-3..8. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Revocation of access rules may differ based on the types of access revoked. For example, if a subject (i.e., user or process) is removed from a group, access may not be revoked until the next time the object (e.g., file) is opened or until the next time the subject attempts a new access to the object. Revocation based on changes to security labels may take effect immediately. Organizations can provide alternative approaches on how to make revocations immediate if information systems cannot provide such capability and immediate revocation is necessary.
Objectives
|
Determine if:
|
Assessment: EXAMINE
Access control policy
procedures addressing access enforcement
information system design documentation
information system configuration settings and associated documentation
rules governing revocation of access authorizations, information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with access enforcement responsibilities
system/network administrators
organizational personnel with information security responsibilities
system developers
Assessment: TEST
Automated mechanisms implementing access enforcement functions
AC-3 (9) CONTROLLED RELEASE
Label: INSERT into ac-3..9._smt_a (AC-3 (9)(a))
Parameter: ac-3_prm_9 organization-defined information system or system component
Label: INSERT into ac-3..9._smt_a (AC-3 (9)(a))
Parameter: ac-3_prm_10 organization-defined security safeguards
Label: INSERT into ac-3..9._smt_b (AC-3 (9)(b))
Parameter: ac-3_prm_11 organization-defined security safeguards
Control
|
The information system does not release information outside of the established system boundary unless:
|
Supplemental guidance
Information systems can only protect organizational information within the confines of established system boundaries. Additional security safeguards may be needed to ensure that such information is adequately protected once it is passed beyond the established information system boundaries. Examples of information leaving the system boundary include transmitting information to an external information system or printing the information on one of its printers. In cases where the information system is unable to make a determination of the adequacy of the protections provided by entities outside its boundary, as a mitigating control, organizations determine procedurally whether the external information systems are providing adequate security. The means used to determine the adequacy of the security provided by external information systems include, for example, conducting inspections or periodic testing, establishing agreements between the organization and its counterpart organizations, or some other process. The means used by external entities to protect the information received need not be the same as those used by the organization, but the means employed are sufficient to provide consistent adjudication of the security policy to protect the information. This control enhancement requires information systems to employ technical or procedural means to validate the information prior to releasing it to external systems. For example, if the information system passes information to another system controlled by another organization, technical means are employed to validate that the security attributes associated with the exported information are appropriate for the receiving system. Alternatively, if the information system passes information to a printer in organization-controlled space, procedural means can be employed to ensure that only appropriately authorized individuals gain access to the printer. This control enhancement is most applicable when there is some policy mandate (e.g., law, Executive Order, directive, or regulation) that establishes policy regarding access to the information, and that policy applies beyond the realm of a particular information system or organization.
Objectives
|
Determine if:
|
Assessment: EXAMINE
Access control policy
procedures addressing access enforcement
information system design documentation
information system configuration settings and associated documentation
list of security safeguards provided by receiving information system or system components
list of security safeguards validating appropriateness of information designated for release
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with access enforcement responsibilities
system/network administrators
organizational personnel with information security responsibilities
system developers
Assessment: TEST
Automated mechanisms implementing access enforcement functions
AC-3 (10) AUDITED OVERRIDE OF ACCESS CONTROL MECHANISMS
Label: INSERT into ac-3..10.
Parameter: ac-3_prm_12 organization-defined conditions
Control
|
The organization employs an audited override of automated access control mechanisms under ac-3_prm_12 INSERT into ac-3..10. [NO PARAMETER VALUE GIVEN] . |
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Access control policy
procedures addressing access enforcement
information system design documentation
information system configuration settings and associated documentation
conditions for employing audited override of automated access control mechanisms
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with access enforcement responsibilities
system/network administrators
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms implementing access enforcement functions
References: None
AC-4 INFORMATION FLOW ENFORCEMENT
Label: INSERT into ac-4
Parameter: ac-4_prm_1 organization-defined information flow control policies
Control
|
The information system enforces approved authorizations for controlling the flow of information within the system and between interconnected systems based on ac-4_prm_1 INSERT into ac-4 [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Information flow control regulates where information is allowed to travel within an information system and between information systems (as opposed to who is allowed to access the information) and without explicit regard to subsequent accesses to that information. Flow control restrictions include, for example, keeping export-controlled information from being transmitted in the clear to the Internet, blocking outside traffic that claims to be from within the organization, restricting web requests to the Internet that are not from the internal web proxy server, and limiting information transfers between organizations based on data structures and content. Transferring information between information systems representing different security domains with different security policies introduces risk that such transfers violate one or more domain security policies. In such situations, information owners/stewards provide guidance at designated policy enforcement points between interconnected systems. Organizations consider mandating specific architectural solutions when required to enforce specific security policies. Enforcement includes, for example: (i) prohibiting information transfers between interconnected systems (i.e., allowing access only); (ii) employing hardware mechanisms to enforce one-way information flows; and (iii) implementing trustworthy regrading mechanisms to reassign security attributes and security labels. Organizations commonly employ information flow control policies and enforcement mechanisms to control the flow of information between designated sources and destinations (e.g., networks, individuals, and devices) within information systems and between interconnected systems. Flow control is based on the characteristics of the information and/or the information path. Enforcement occurs, for example, in boundary protection devices (e.g., gateways, routers, guards, encrypted tunnels, firewalls) that employ rule sets or establish configuration settings that restrict information system services, provide a packet-filtering capability based on header information, or message-filtering capability based on message content (e.g., implementing key word searches or using document characteristics). Organizations also consider the trustworthiness of filtering/inspection mechanisms (i.e., hardware, firmware, and software components) that are critical to information flow enforcement. Control enhancements 3 through 22 primarily address cross-domain solution needs which focus on more advanced filtering techniques, in-depth analysis, and stronger flow enforcement mechanisms implemented in cross-domain products, for example, high-assurance guards. Such capabilities are generally not available in commercial off-the-shelf information technology products.
cf AC-19: ACCESS CONTROL FOR MOBILE DEVICES
cf CM-6: CONFIGURATION SETTINGS
cf SA-8: SECURITY ENGINEERING PRINCIPLES
cf SC-2: APPLICATION PARTITIONING
Objectives
|
Determine if:
|
Assessment: EXAMINE
Access control policy
information flow control policies
procedures addressing information flow enforcement
information system design documentation
information system configuration settings and associated documentation
information system baseline configuration
list of information flow authorizations
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developers
Assessment: TEST
Automated mechanisms implementing information flow enforcement policy
Control enhancements
AC-4 (1) OBJECT SECURITY ATTRIBUTES
Label: INSERT into ac-4..1.
Parameter: ac-4_prm_2 organization-defined security attributes
Label: INSERT into ac-4..1.
Parameter: ac-4_prm_3 organization-defined information, source, and destination objects
Label: INSERT into ac-4..1.
Parameter: ac-4_prm_4 organization-defined information flow control policies
Control
|
The information system uses ac-4_prm_2 INSERT into ac-4..1. [NO PARAMETER VALUE GIVEN] associated with ac-4_prm_3 INSERT into ac-4..1. [NO PARAMETER VALUE GIVEN] to enforce ac-4_prm_4 INSERT into ac-4..1. [NO PARAMETER VALUE GIVEN] as a basis for flow control decisions. |
Supplemental guidance
Information flow enforcement mechanisms compare security attributes associated with information (data content and data structure) and source/destination objects, and respond appropriately (e.g., block, quarantine, alert administrator) when the mechanisms encounter information flows not explicitly allowed by information flow policies. For example, an information object labeled Secret would be allowed to flow to a destination object labeled Secret, but an information object labeled Top Secret would not be allowed to flow to a destination object labeled Secret. Security attributes can also include, for example, source and destination addresses employed in traffic filter firewalls. Flow enforcement using explicit security attributes can be used, for example, to control the release of certain types of information.
Objectives
|
Determine if:
|
Assessment: EXAMINE
Access control policy
information flow control policies
procedures addressing information flow enforcement
information system design documentation
information system configuration settings and associated documentation
list of security attributes and associated information, source, and destination objects enforcing information flow control policies
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developers
Assessment: TEST
Automated mechanisms implementing information flow enforcement policy
AC-4 (2) PROCESSING DOMAINS
Label: INSERT into ac-4..2.
Parameter: ac-4_prm_5 organization-defined information flow control policies
Control
|
The information system uses protected processing domains to enforce ac-4_prm_5 INSERT into ac-4..2. [NO PARAMETER VALUE GIVEN] as a basis for flow control decisions. |
Supplemental guidance
Within information systems, protected processing domains are processing spaces that have controlled interactions with other processing spaces, thus enabling control of information flows between these spaces and to/from data/information objects. A protected processing domain can be provided, for example, by implementing domain and type enforcement. In domain and type enforcement, information system processes are assigned to domains; information is identified by types; and information flows are controlled based on allowed information accesses (determined by domain and type), allowed signaling among domains, and allowed process transitions to other domains.
Objectives
|
Determine if:
|
Assessment: EXAMINE
Access control policy
information flow control policies
procedures addressing information flow enforcement
information system design documentation
information system security architecture and associated documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms implementing information flow enforcement policy
AC-4 (3) DYNAMIC INFORMATION FLOW CONTROL
Label: INSERT into ac-4..3.
Parameter: ac-4_prm_6 organization-defined policies
Control
|
The information system enforces dynamic information flow control based on ac-4_prm_6 INSERT into ac-4..3. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Organizational policies regarding dynamic information flow control include, for example, allowing or disallowing information flows based on changing conditions or mission/operational considerations. Changing conditions include, for example, changes in organizational risk tolerance due to changes in the immediacy of mission/business needs, changes in the threat environment, and detection of potentially harmful or adverse events.
Objectives
|
Determine if:
|
Assessment: EXAMINE
Access control policy
information flow control policies
procedures addressing information flow enforcement
information system design documentation
information system security architecture and associated documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developers
Assessment: TEST
Automated mechanisms implementing information flow enforcement policy
AC-4 (4) CONTENT CHECK ENCRYPTED INFORMATION
Label: SELECT for { ancestor-or-self::*[@id][1]/@id }
decrypting the information
blocking the flow of the encrypted information
terminating communications sessions attempting to pass encrypted information
ac-4_prm_8 INSERT into ac-4..4. [NO PARAMETER VALUE GIVEN]
Label: INSERT into ac-4..4.
Parameter: ac-4_prm_8 organization-defined procedure or method
Control
|
The information system prevents encrypted information from bypassing content-checking mechanisms by ac-4_prm_7 SELECT for { ancestor-or-self::*[@id][1]/@id } decrypting the information blocking the flow of the encrypted information terminating communications sessions attempting to pass encrypted information [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Objectives
|
Determine if:
|
Assessment: EXAMINE
Access control policy
information flow control policies
procedures addressing information flow enforcement
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developers
Assessment: TEST
Automated mechanisms implementing information flow enforcement policy
AC-4 (5) EMBEDDED DATA TYPES
Label: INSERT into ac-4..5.
Parameter: ac-4_prm_9 organization-defined limitations
Control
|
The information system enforces ac-4_prm_9 INSERT into ac-4..5. [NO PARAMETER VALUE GIVEN] on embedding data types within other data types. |
Supplemental guidance
Embedding data types within other data types may result in reduced flow control effectiveness. Data type embedding includes, for example, inserting executable files as objects within word processing files, inserting references or descriptive information into a media file, and compressed or archived data types that may include multiple embedded data types. Limitations on data type embedding consider the levels of embedding and prohibit levels of data type embedding that are beyond the capability of the inspection tools.
Objectives
|
Determine if:
|
Assessment: EXAMINE
Access control policy
procedures addressing information flow enforcement
information system design documentation
information system configuration settings and associated documentation
list of limitations to be enforced on embedding data types within other data types
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developers
Assessment: TEST
Automated mechanisms implementing information flow enforcement policy
AC-4 (6) METADATA
Label: INSERT into ac-4..6.
Parameter: ac-4_prm_10 organization-defined metadata
Control
|
The information system enforces information flow control based on ac-4_prm_10 INSERT into ac-4..6. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Metadata is information used to describe the characteristics of data. Metadata can include structural metadata describing data structures (e.g., data format, syntax, and semantics) or descriptive metadata describing data contents (e.g., age, location, telephone number). Enforcing allowed information flows based on metadata enables simpler and more effective flow control. Organizations consider the trustworthiness of metadata with regard to data accuracy (i.e., knowledge that the metadata values are correct with respect to the data), data integrity (i.e., protecting against unauthorized changes to metadata tags), and the binding of metadata to the data payload (i.e., ensuring sufficiently strong binding techniques with appropriate levels of assurance).
Objectives
|
Determine if:
|
Assessment: EXAMINE
Access control policy
information flow control policies
procedures addressing information flow enforcement
information system design documentation
information system configuration settings and associated documentation
types of metadata used to enforce information flow control decisions
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developers
Assessment: TEST
Automated mechanisms implementing information flow enforcement policy
AC-4 (7) ONE-WAY FLOW MECHANISMS
Label: INSERT into ac-4..7.
Parameter: ac-4_prm_11 organization-defined one-way information flows
Control
|
The information system enforces ac-4_prm_11 INSERT into ac-4..7. [NO PARAMETER VALUE GIVEN] using hardware mechanisms. |
Objectives
|
Determine if:
|
Assessment: EXAMINE
Access control policy
information flow control policies
procedures addressing information flow enforcement
information system design documentation
information system configuration settings and associated documentation
information system hardware mechanisms and associated configurations
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developers
Assessment: TEST
Hardware mechanisms implementing information flow enforcement policy
AC-4 (8) SECURITY POLICY FILTERS
Label: INSERT into ac-4..8.
Parameter: ac-4_prm_12 organization-defined security policy filters
Label: INSERT into ac-4..8.
Parameter: ac-4_prm_13 organization-defined information flows
Control
|
The information system enforces information flow control using ac-4_prm_12 INSERT into ac-4..8. [NO PARAMETER VALUE GIVEN] as a basis for flow control decisions for ac-4_prm_13 INSERT into ac-4..8. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Organization-defined security policy filters can address data structures and content. For example, security policy filters for data structures can check for maximum file lengths, maximum field sizes, and data/file types (for structured and unstructured data). Security policy filters for data content can check for specific words (e.g., dirty/clean word filters), enumerated values or data value ranges, and hidden content. Structured data permits the interpretation of data content by applications. Unstructured data typically refers to digital information without a particular data structure or with a data structure that does not facilitate the development of rule sets to address the particular sensitivity of the information conveyed by the data or the associated flow enforcement decisions. Unstructured data consists of: (i) bitmap objects that are inherently non language-based (i.e., image, video, or audio files); and (ii) textual objects that are based on written or printed languages (e.g., commercial off-the-shelf word processing documents, spreadsheets, or emails). Organizations can implement more than one security policy filter to meet information flow control objectives (e.g., employing clean word lists in conjunction with dirty word lists may help to reduce false positives).
Objectives
|
Determine if:
|
Assessment: EXAMINE
Access control policy
information flow control policies
procedures addressing information flow enforcement
information system design documentation
information system configuration settings and associated documentation
list of security policy filters regulating flow control decisions
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developers
Assessment: TEST
Automated mechanisms implementing information flow enforcement policy
AC-4 (9) HUMAN REVIEWS
Label: INSERT into ac-4..9.
Parameter: ac-4_prm_14 organization-defined information flows
Label: INSERT into ac-4..9.
Parameter: ac-4_prm_15 organization-defined conditions
Control
|
The information system enforces the use of human reviews for ac-4_prm_14 INSERT into ac-4..9. [NO PARAMETER VALUE GIVEN] under the following conditions: ac-4_prm_15 INSERT into ac-4..9. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Organizations define security policy filters for all situations where automated flow control decisions are possible. When a fully automated flow control decision is not possible, then a human review may be employed in lieu of, or as a complement to, automated security policy filtering. Human reviews may also be employed as deemed necessary by organizations.
Objectives
|
Determine if:
|
Assessment: EXAMINE
Access control policy
information flow control policies
procedures addressing information flow enforcement
information system design documentation
information system configuration settings and associated documentation
records of human reviews regarding information flows
list of conditions requiring human reviews for information flows
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel with information flow enforcement responsibilities
system developers
Assessment: TEST
Automated mechanisms enforcing the use of human reviews
AC-4 (10) ENABLE / DISABLE SECURITY POLICY FILTERS
Label: INSERT into ac-4..10.
Parameter: ac-4_prm_16 organization-defined security policy filters
Label: INSERT into ac-4..10.
Parameter: ac-4_prm_17 organization-defined conditions
Control
|
The information system provides the capability for privileged administrators to enable/disable ac-4_prm_16 INSERT into ac-4..10. [NO PARAMETER VALUE GIVEN] under the following conditions: ac-4_prm_17 INSERT into ac-4..10. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
For example, as allowed by the information system authorization, administrators can enable security policy filters to accommodate approved data types.
Objectives
|
Determine if:
|
Assessment: EXAMINE
Access control policy
information flow information policies
procedures addressing information flow enforcement
information system design documentation
information system configuration settings and associated documentation
list of security policy filters enabled/disabled by privileged administrators
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibilities for enabling/disabling security policy filters
system/network administrators
organizational personnel with information security responsibilities
system developers
Assessment: TEST
Automated mechanisms implementing information flow enforcement policy
AC-4 (11) CONFIGURATION OF SECURITY POLICY FILTERS
Label: INSERT into ac-4..11.
Parameter: ac-4_prm_18 organization-defined security policy filters
Control
|
The information system provides the capability for privileged administrators to configure ac-4_prm_18 INSERT into ac-4..11. [NO PARAMETER VALUE GIVEN] to support different security policies. |
Supplemental guidance
For example, to reflect changes in security policies, administrators can change the list of “dirty words” that security policy mechanisms check in accordance with the definitions provided by organizations.
Objectives
|
Determine if:
|
Assessment: EXAMINE
Access control policy
information flow control policies
procedures addressing information flow enforcement
information system design documentation
information system configuration settings and associated documentation
list of security policy filters
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibilities for configuring security policy filters
system/network administrators
organizational personnel with information security responsibilities
system developers
Assessment: TEST
Automated mechanisms implementing information flow enforcement policy
AC-4 (12) DATA TYPE IDENTIFIERS
Label: INSERT into ac-4..12.
Parameter: ac-4_prm_19 organization-defined data type identifiers
Control
|
The information system, when transferring information between different security domains, uses ac-4_prm_19 INSERT into ac-4..12. [NO PARAMETER VALUE GIVEN] to validate data essential for information flow decisions. |
Supplemental guidance
Data type identifiers include, for example, filenames, file types, file signatures/tokens, and multiple internal file signatures/tokens. Information systems may allow transfer of data only if compliant with data type format specifications.
Objectives
|
Determine if:
|
Assessment: EXAMINE
Access control policy
information flow control policies
procedures addressing information flow enforcement
information system design documentation
information system configuration settings and associated documentation
list of data type identifiers
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developers
Assessment: TEST
Automated mechanisms implementing information flow enforcement policy
AC-4 (13) DECOMPOSITION INTO POLICY-RELEVANT SUBCOMPONENTS
Label: INSERT into ac-4..13.
Parameter: ac-4_prm_20 organization-defined policy-relevant subcomponents
Control
|
The information system, when transferring information between different security domains, decomposes information into ac-4_prm_20 INSERT into ac-4..13. [NO PARAMETER VALUE GIVEN] for submission to policy enforcement mechanisms. |
Supplemental guidance
Policy enforcement mechanisms apply filtering, inspection, and/or sanitization rules to the policy-relevant subcomponents of information to facilitate flow enforcement prior to transferring such information to different security domains. Parsing transfer files facilitates policy decisions on source, destination, certificates, classification, attachments, and other security-related component differentiators.
Objectives
|
Determine if:
|
Assessment: EXAMINE
Access control policy
information flow control policies
procedures addressing information flow enforcement
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developers
Assessment: TEST
Automated mechanisms implementing information flow enforcement policy
AC-4 (14) SECURITY POLICY FILTER CONSTRAINTS
Label: INSERT into ac-4..14.
Parameter: ac-4_prm_21 organization-defined security policy filters
Control
|
The information system, when transferring information between different security domains, implements ac-4_prm_21 INSERT into ac-4..14. [NO PARAMETER VALUE GIVEN] requiring fully enumerated formats that restrict data structure and content. |
Supplemental guidance
Data structure and content restrictions reduce the range of potential malicious and/or unsanctioned content in cross-domain transactions. Security policy filters that restrict data structures include, for example, restricting file sizes and field lengths. Data content policy filters include, for example: (i) encoding formats for character sets (e.g., Universal Character Set Transformation Formats, American Standard Code for Information Interchange); (ii) restricting character data fields to only contain alpha-numeric characters; (iii) prohibiting special characters; and (iv) validating schema structures.
Objectives
|
Determine if:
|
Assessment: EXAMINE
Access control policy
information flow control policies
procedures addressing information flow enforcement
information system design documentation
information system configuration settings and associated documentation
list of security policy filters
list of data content policy filters
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developers
Assessment: TEST
Automated mechanisms implementing information flow enforcement policy
AC-4 (15) DETECTION OF UNSANCTIONED INFORMATION
Label: INSERT into ac-4..15.
Parameter: ac-4_prm_22 organized-defined unsanctioned information
Label: INSERT into ac-4..15.
Parameter: ac-4_prm_23 organization-defined security policy
Control
|
The information system, when transferring information between different security domains, examines the information for the presence of ac-4_prm_22 INSERT into ac-4..15. [NO PARAMETER VALUE GIVEN] and prohibits the transfer of such information in accordance with the ac-4_prm_23 INSERT into ac-4..15. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Detection of unsanctioned information includes, for example, checking all information to be transferred for malicious code and dirty words.
Objectives
|
Determine if:
|
Assessment: EXAMINE
Access control policy
information flow control policies
procedures addressing information flow enforcement
information system design documentation
information system configuration settings and associated documentation
list of unsanctioned information types and associated information
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information security responsibilities
system developers
Assessment: TEST
Automated mechanisms implementing information flow enforcement policy
AC-4 (16) INFORMATION TRANSFERS ON INTERCONNECTED SYSTEMS
cf AC-4: INFORMATION FLOW ENFORCEMENT
Control
|
Withdrawn: Incorporated into AC-4. |
AC-4 (17) DOMAIN AUTHENTICATION
Label: SELECT for { ancestor-or-self::*[@id][1]/@id }
organization, system, application, individual
Control
|
The information system uniquely identifies and authenticates source and destination points by ac-4_prm_24 SELECT for { ancestor-or-self::*[@id][1]/@id } organization, system, application, individual [NO PARAMETER VALUE GIVEN] for information transfer. |
Supplemental guidance
Attribution is a critical component of a security concept of operations. The ability to identify source and destination points for information flowing in information systems, allows the forensic reconstruction of events when required, and encourages policy compliance by attributing policy violations to specific organizations/individuals. Successful domain authentication requires that information system labels distinguish among systems, organizations, and individuals involved in preparing, sending, receiving, or disseminating information.
cf IA-2: IDENTIFICATION AND AUTHENTICATION (ORGANIZATIONAL USERS)
cf IA-3: DEVICE IDENTIFICATION AND AUTHENTICATION
Objectives
|
Determine if the information system uniquely identifies and authenticates:
|
Assessment: EXAMINE
Access control policy
information flow control policies
procedures addressing information flow enforcement
procedures addressing source and destination domain identification and authentication
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developers
Assessment: TEST
Automated mechanisms implementing information flow enforcement policy
AC-4 (18) SECURITY ATTRIBUTE BINDING
Label: INSERT into ac-4..18.
Parameter: ac-4_prm_25 organization-defined binding techniques
Control
|
The information system binds security attributes to information using ac-4_prm_25 INSERT into ac-4..18. [NO PARAMETER VALUE GIVEN] to facilitate information flow policy enforcement. |
Supplemental guidance
Binding techniques implemented by information systems affect the strength of security attribute binding to information. Binding strength and the assurance associated with binding techniques play an important part in the trust organizations have in the information flow enforcement process. The binding techniques affect the number and degree of additional reviews required by organizations.
Objectives
|
Determine if:
|
Assessment: EXAMINE
Information flow enforcement policy
information flow control policies
procedures addressing information flow enforcement
information system design documentation
information system configuration settings and associated documentation
list of binding techniques to bind security attributes to information
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information flow enforcement responsibilities
system/network administrators
organizational personnel with information security responsibilities
system developers
Assessment: TEST
Automated mechanisms implementing information flow enforcement functions
AC-4 (19) VALIDATION OF METADATA
Control
|
The information system, when transferring information between different security domains, applies the same security policy filtering to metadata as it applies to data payloads. |
Supplemental guidance
This control enhancement requires the validation of metadata and the data to which the metadata applies. Some organizations distinguish between metadata and data payloads (i.e., only the data to which the metadata is bound). Other organizations do not make such distinctions, considering metadata and the data to which the metadata applies as part of the payload. All information (including metadata and the data to which the metadata applies) is subject to filtering and inspection.
Objective
|
Determine if the information system, when transferring information between different security domains, applies the same security policy filtering to metadata as it applies to data payloads. |
Assessment: EXAMINE
Information flow enforcement policy
information flow control policies
procedures addressing information flow enforcement
information system design documentation
information system configuration settings and associated documentation
list of security policy filtering criteria applied to metadata and data payloads
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information flow enforcement responsibilities
system/network administrators
organizational personnel with information security responsibilities
system developers
Assessment: TEST
Automated mechanisms implementing information flow enforcement functions
AC-4 (20) APPROVED SOLUTIONS
Label: INSERT into ac-4..20.
Parameter: ac-4_prm_26 organization-defined solutions in approved configurations
Label: INSERT into ac-4..20.
Parameter: ac-4_prm_27 organization-defined information
Control
|
The organization employs ac-4_prm_26 INSERT into ac-4..20. [NO PARAMETER VALUE GIVEN] to control the flow of ac-4_prm_27 INSERT into ac-4..20. [NO PARAMETER VALUE GIVEN] across security domains. |
Supplemental guidance
Organizations define approved solutions and configurations in cross-domain policies and guidance in accordance with the types of information flows across classification boundaries. The Unified Cross Domain Management Office (UCDMO) provides a baseline listing of approved cross-domain solutions.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Information flow enforcement policy
information flow control policies
procedures addressing information flow enforcement
information system design documentation
information system configuration settings and associated documentation
list of solutions in approved configurations
approved configuration baselines
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information flow enforcement responsibilities
system/network administrators
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms implementing information flow enforcement functions
AC-4 (21) PHYSICAL / LOGICAL SEPARATION OF INFORMATION FLOWS
Label: INSERT into ac-4..21.
Parameter: ac-4_prm_28 organization-defined mechanisms and/or techniques
Label: INSERT into ac-4..21.
Parameter: ac-4_prm_29 organization-defined required separations by types of information
Control
|
The information system separates information flows logically or physically using ac-4_prm_28 INSERT into ac-4..21. [NO PARAMETER VALUE GIVEN] to accomplish ac-4_prm_29 INSERT into ac-4..21. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Enforcing the separation of information flows by type can enhance protection by ensuring that information is not commingled while in transit and by enabling flow control by transmission paths perhaps not otherwise achievable. Types of separable information include, for example, inbound and outbound communications traffic, service requests and responses, and information of differing security categories.
Objectives
|
Determine if:
|
Assessment: EXAMINE
Information flow enforcement policy
information flow control policies
procedures addressing information flow enforcement
information system design documentation
information system configuration settings and associated documentation
list of required separation of information flows by information types
list of mechanisms and/or techniques used to logically or physically separate information flows
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information flow enforcement responsibilities
system/network administrators
organizational personnel with information security responsibilities
system developers
Assessment: TEST
Automated mechanisms implementing information flow enforcement functions
AC-4 (22) ACCESS ONLY
Control
|
The information system provides access from a single device to computing platforms, applications, or data residing on multiple different security domains, while preventing any information flow between the different security domains. |
Supplemental guidance
The information system, for example, provides a desktop for users to access each connected security domain without providing any mechanisms to allow transfer of information between the different security domains.
Objective
|
Determine if the information system provides access from a single device to computing platforms, applications, or data residing on multiple different security domains, while preventing any information flow between the different security domains. |
Assessment: EXAMINE
Information flow enforcement policy
procedures addressing information flow enforcement
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information flow enforcement responsibilities
system/network administrators
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms implementing information flow enforcement functions
References: None
AC-5 SEPARATION OF DUTIES
Label: INSERT into ac-5_smt_a (AC-5a.)
Parameter: ac-5_prm_1 organization-defined duties of individuals
Control
|
The organization:
|
Supplemental guidance
Separation of duties addresses the potential for abuse of authorized privileges and helps to reduce the risk of malevolent activity without collusion. Separation of duties includes, for example: (i) dividing mission functions and information system support functions among different individuals and/or roles; (ii) conducting information system support functions with different individuals (e.g., system management, programming, configuration management, quality assurance and testing, and network security); and (iii) ensuring security personnel administering access control functions do not also administer audit functions.
cf PE-3: PHYSICAL ACCESS CONTROL
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Access control policy
procedures addressing divisions of responsibility and separation of duties
information system configuration settings and associated documentation
list of divisions of responsibility and separation of duties
information system access authorizations
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibilities for defining appropriate divisions of responsibility and separation of duties
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Automated mechanisms implementing separation of duties policy
References: None
AC-6 LEAST PRIVILEGE
Control
|
The organization employs the principle of least privilege, allowing only authorized accesses for users (or processes acting on behalf of users) which are necessary to accomplish assigned tasks in accordance with organizational missions and business functions. |
Supplemental guidance
Organizations employ least privilege for specific duties and information systems. The principle of least privilege is also applied to information system processes, ensuring that the processes operate at privilege levels no higher than necessary to accomplish required organizational missions/business functions. Organizations consider the creation of additional processes, roles, and information system accounts as necessary, to achieve least privilege. Organizations also apply least privilege to the development, implementation, and operation of organizational information systems.
Objective
|
Determine if the organization employs the principle of least privilege, allowing only authorized access for users (and processes acting on behalf of users) which are necessary to accomplish assigned tasks in accordance with organizational missions and business functions. |
Assessment: EXAMINE
Access control policy
procedures addressing least privilege
list of assigned access authorizations (user privileges)
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Automated mechanisms implementing least privilege functions
Control enhancements
AC-6 (1) AUTHORIZE ACCESS TO SECURITY FUNCTIONS
Label: INSERT into ac-6..1.
Parameter: ac-6_prm_1 organization-defined security functions (deployed in hardware, software, and firmware) and security-relevant information
Control
|
The organization explicitly authorizes access to ac-6_prm_1 INSERT into ac-6..1. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Security functions include, for example, establishing system accounts, configuring access authorizations (i.e., permissions, privileges), setting events to be audited, and setting intrusion detection parameters. Security-relevant information includes, for example, filtering rules for routers/firewalls, cryptographic key management information, configuration parameters for security services, and access control lists. Explicitly authorized personnel include, for example, security administrators, system and network administrators, system security officers, system maintenance personnel, system programmers, and other privileged users.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Access control policy
procedures addressing least privilege
list of security functions (deployed in hardware, software, and firmware) and security-relevant information for which access must be explicitly authorized
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Automated mechanisms implementing least privilege functions
AC-6 (2) NON-PRIVILEGED ACCESS FOR NONSECURITY FUNCTIONS
Label: INSERT into ac-6..2.
Parameter: ac-6_prm_2 organization-defined security functions or security-relevant information
Control
|
The organization requires that users of information system accounts, or roles, with access to ac-6_prm_2 INSERT into ac-6..2. [NO PARAMETER VALUE GIVEN] , use non-privileged accounts or roles, when accessing nonsecurity functions. |
Supplemental guidance
This control enhancement limits exposure when operating from within privileged accounts or roles. The inclusion of roles addresses situations where organizations implement access control policies such as role-based access control and where a change of role provides the same degree of assurance in the change of access authorizations for both the user and all processes acting on behalf of the user as would be provided by a change between a privileged and non-privileged account.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Access control policy
procedures addressing least privilege
list of system-generated security functions or security-relevant information assigned to information system accounts or roles
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Automated mechanisms implementing least privilege functions
AC-6 (3) NETWORK ACCESS TO PRIVILEGED COMMANDS
Label: INSERT into ac-6..3.
Parameter: ac-6_prm_3 organization-defined privileged commands
Label: INSERT into ac-6..3.
Parameter: ac-6_prm_4 organization-defined compelling operational needs
Control
|
The organization authorizes network access to ac-6_prm_3 INSERT into ac-6..3. [NO PARAMETER VALUE GIVEN] only for ac-6_prm_4 INSERT into ac-6..3. [NO PARAMETER VALUE GIVEN] and documents the rationale for such access in the security plan for the information system. |
Supplemental guidance
Network access is any access across a network connection in lieu of local access (i.e., user being physically present at the device).
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Access control policy
procedures addressing least privilege
security plan
information system configuration settings and associated documentation
information system audit records
list of operational needs for authorizing network access to privileged commands
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms implementing least privilege functions
AC-6 (4) SEPARATE PROCESSING DOMAINS
Control
|
The information system provides separate processing domains to enable finer-grained allocation of user privileges. |
Supplemental guidance
Providing separate processing domains for finer-grained allocation of user privileges includes, for example: (i) using virtualization techniques to allow additional privileges within a virtual machine while restricting privileges to other virtual machines or to the underlying actual machine; (ii) employing hardware and/or software domain separation mechanisms; and (iii) implementing separate physical domains.
cf AC-4: INFORMATION FLOW ENFORCEMENT
cf SC-3: SECURITY FUNCTION ISOLATION
Objective
|
Determine if the information system provides separate processing domains to enable finer-grained allocation of user privileges. |
Assessment: EXAMINE
Access control policy
procedures addressing least privilege
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks
organizational personnel with information security responsibilities
system developers
Assessment: TEST
Automated mechanisms implementing least privilege functions
AC-6 (5) PRIVILEGED ACCOUNTS
Label: INSERT into ac-6..5.
Parameter: ac-6_prm_5 organization-defined personnel or roles
Control
|
The organization restricts privileged accounts on the information system to ac-6_prm_5 INSERT into ac-6..5. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Privileged accounts, including super user accounts, are typically described as system administrator for various types of commercial off-the-shelf operating systems. Restricting privileged accounts to specific personnel or roles prevents day-to-day users from having access to privileged information/functions. Organizations may differentiate in the application of this control enhancement between allowed privileges for local accounts and for domain accounts provided organizations retain the ability to control information system configurations for key security parameters and as otherwise necessary to sufficiently mitigate risk.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Access control policy
procedures addressing least privilege
list of system-generated privileged accounts
list of system administration personnel
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Automated mechanisms implementing least privilege functions
AC-6 (6) PRIVILEGED ACCESS BY NON-ORGANIZATIONAL USERS
Control
|
The organization prohibits privileged access to the information system by non-organizational users. |
Supplemental guidance
cf IA-8: IDENTIFICATION AND AUTHENTICATION (NON-ORGANIZATIONAL USERS)
Objective
|
Determine if the organization prohibits privileged access to the information system by non-organizational users. |
Assessment: EXAMINE
Access control policy
procedures addressing least privilege
list of system-generated privileged accounts
list of non-organizational users
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Automated mechanisms prohibiting privileged access to the information system
AC-6 (7) REVIEW OF USER PRIVILEGES
Label: INSERT into ac-6..7._smt_a (AC-6 (7)(a))
Parameter: ac-6_prm_6 organization-defined frequency
Label: INSERT into ac-6..7._smt_a (AC-6 (7)(a))
Parameter: ac-6_prm_7 organization-defined roles or classes of users
Control
|
The organization:
|
Supplemental guidance
The need for certain assigned user privileges may change over time reflecting changes in organizational missions/business function, environments of operation, technologies, or threat. Periodic review of assigned user privileges is necessary to determine if the rationale for assigning such privileges remains valid. If the need cannot be revalidated, organizations take appropriate corrective actions.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Access control policy
procedures addressing least privilege
list of system-generated roles or classes of users and assigned privileges
information system design documentation
information system configuration settings and associated documentation
validation reviews of privileges assigned to roles or classes or users
records of privilege removals or reassignments for roles or classes of users
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibilities for reviewing least privileges necessary to accomplish specified tasks
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Automated mechanisms implementing review of user privileges
AC-6 (8) PRIVILEGE LEVELS FOR CODE EXECUTION
Label: INSERT into ac-6..8.
Parameter: ac-6_prm_8 organization-defined software
Control
|
The information system prevents ac-6_prm_8 INSERT into ac-6..8. [NO PARAMETER VALUE GIVEN] from executing at higher privilege levels than users executing the software. |
Supplemental guidance
In certain situations, software applications/programs need to execute with elevated privileges to perform required functions. However, if the privileges required for execution are at a higher level than the privileges assigned to organizational users invoking such applications/programs, those users are indirectly provided with greater privileges than assigned by organizations.
Objectives
|
Determine if:
|
Assessment: EXAMINE
Access control policy
procedures addressing least privilege
list of software that should not execute at higher privilege levels than users executing software
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks
organizational personnel with information security responsibilities
system/network administrators
system developers
Assessment: TEST
Automated mechanisms implementing least privilege functions for software execution
AC-6 (9) AUDITING USE OF PRIVILEGED FUNCTIONS
Control
|
The information system audits the execution of privileged functions. |
Supplemental guidance
Misuse of privileged functions, either intentionally or unintentionally by authorized users, or by unauthorized external entities that have compromised information system accounts, is a serious and ongoing concern and can have significant adverse impacts on organizations. Auditing the use of privileged functions is one way to detect such misuse, and in doing so, help mitigate the risk from insider threats and the advanced persistent threat (APT).
Objective
|
Determine if the information system audits the execution of privileged functions. |
Assessment: EXAMINE
Access control policy
procedures addressing least privilege
information system design documentation
information system configuration settings and associated documentation
list of privileged functions to be audited
list of audited events
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibilities for reviewing least privileges necessary to accomplish specified tasks
organizational personnel with information security responsibilities
system/network administrators
system developers
Assessment: TEST
Automated mechanisms auditing the execution of least privilege functions
AC-6 (10) PROHIBIT NON-PRIVILEGED USERS FROM EXECUTING PRIVILEGED FUNCTIONS
Control
|
The information system prevents non-privileged users from executing privileged functions to include disabling, circumventing, or altering implemented security safeguards/countermeasures. |
Supplemental guidance
Privileged functions include, for example, establishing information system accounts, performing system integrity checks, or administering cryptographic key management activities. Non-privileged users are individuals that do not possess appropriate authorizations. Circumventing intrusion detection and prevention mechanisms or malicious code protection mechanisms are examples of privileged functions that require protection from non-privileged users.
Objectives
|
Determine if the information system prevents non-privileged users from executing privileged functions to include:
|
Assessment: EXAMINE
Access control policy
procedures addressing least privilege
information system design documentation
information system configuration settings and associated documentation
list of privileged functions and associated user account assignments
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks
organizational personnel with information security responsibilities
system developers
Assessment: TEST
Automated mechanisms implementing least privilege functions for non-privileged users
References: None
AC-7 UNSUCCESSFUL LOGON ATTEMPTS
Label: INSERT into ac-7_smt_a (AC-7a.)
Parameter: ac-7_prm_1 organization-defined number
Label: INSERT into ac-7_smt_a (AC-7a.)
Parameter: ac-7_prm_2 organization-defined time period
Label: SELECT for { ancestor-or-self::*[@id][1]/@id }
Parameter: ac-7_prm_3 Insertion into AC-7b.
locks the account/node for an ac-7_prm_4 INSERT into ac-7_smt_b (AC-7b.) [NO PARAMETER VALUE GIVEN]
locks the account/node until released by an administrator
delays next logon prompt according to ac-7_prm_5 INSERT into ac-7_smt_b (AC-7b.) [NO PARAMETER VALUE GIVEN]
Label: INSERT into ac-7_smt_b (AC-7b.)
Parameter: ac-7_prm_4 organization-defined time period
Label: INSERT into ac-7_smt_b (AC-7b.)
Parameter: ac-7_prm_5 organization-defined delay algorithm
Control
|
The information system:
|
Supplemental guidance
This control applies regardless of whether the logon occurs via a local or network connection. Due to the potential for denial of service, automatic lockouts initiated by information systems are usually temporary and automatically release after a predetermined time period established by organizations. If a delay algorithm is selected, organizations may choose to employ different algorithms for different information system components based on the capabilities of those components. Responses to unsuccessful logon attempts may be implemented at both the operating system and the application levels.
cf AC-9: PREVIOUS LOGON (ACCESS) NOTIFICATION
cf AC-14: PERMITTED ACTIONS WITHOUT IDENTIFICATION OR AUTHENTICATION
Objectives
|
Determine if:
|
Assessment: EXAMINE
Access control policy
procedures addressing unsuccessful logon attempts
security plan
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information security responsibilities
system developers
system/network administrators
Assessment: TEST
Automated mechanisms implementing access control policy for unsuccessful logon attempts
Control enhancements
AC-7 (1) AUTOMATIC ACCOUNT LOCK
cf AC-7: UNSUCCESSFUL LOGON ATTEMPTS
Control
|
Withdrawn: Incorporated into AC-7. |
AC-7 (2) PURGE / WIPE MOBILE DEVICE
Label: INSERT into ac-7..2.
Parameter: ac-7_prm_6 organization-defined mobile devices
Label: INSERT into ac-7..2.
Parameter: ac-7_prm_7 organization-defined purging/wiping requirements/techniques
Label: INSERT into ac-7..2.
Parameter: ac-7_prm_8 organization-defined number
Control
|
The information system purges/wipes information from ac-7_prm_6 INSERT into ac-7..2. [NO PARAMETER VALUE GIVEN] based on ac-7_prm_7 INSERT into ac-7..2. [NO PARAMETER VALUE GIVEN] after ac-7_prm_8 INSERT into ac-7..2. [NO PARAMETER VALUE GIVEN] consecutive, unsuccessful device logon attempts. |
Supplemental guidance
This control enhancement applies only to mobile devices for which a logon occurs (e.g., personal digital assistants, smart phones, tablets). The logon is to the mobile device, not to any one account on the device. Therefore, successful logons to any accounts on mobile devices reset the unsuccessful logon count to zero. Organizations define information to be purged/wiped carefully in order to avoid over purging/wiping which may result in devices becoming unusable. Purging/wiping may be unnecessary if the information on the device is protected with sufficiently strong encryption mechanisms.
Objectives
|
Determine if:
|
Assessment: EXAMINE
Access control policy
procedures addressing unsuccessful login attempts on mobile devices
information system design documentation
information system configuration settings and associated documentation
list of mobile devices to be purged/wiped after organization-defined consecutive, unsuccessful device logon attempts
list of purging/wiping requirements or techniques for mobile devices
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms implementing access control policy for unsuccessful device logon attempts
References: None
AC-8 SYSTEM USE NOTIFICATION
Label: INSERT into ac-8_smt_a (AC-8a.)
Parameter: ac-8_prm_1 organization-defined system use notification message or banner
Label: INSERT into ac-8_smt_c.1 (AC-8c.1.)
Parameter: ac-8_prm_2 organization-defined conditions
Control
|
The information system:
|
Supplemental guidance
System use notifications can be implemented using messages or warning banners displayed before individuals log in to information systems. System use notifications are used only for access via logon interfaces with human users and are not required when such human interfaces do not exist. Organizations consider system use notification messages/banners displayed in multiple languages based on specific organizational needs and the demographics of information system users. Organizations also consult with the Office of the General Counsel for legal review and approval of warning banner content.
Objectives
|
Determine if:
|
Assessment: EXAMINE
Access control policy
privacy and security policies, procedures addressing system use notification
documented approval of information system use notification messages or banners
information system audit records
user acknowledgements of notification message or banner
information system design documentation
information system configuration settings and associated documentation
information system use notification messages
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel with responsibility for providing legal advice
system developers
Assessment: TEST
Automated mechanisms implementing system use notification
References: None
AC-9 PREVIOUS LOGON (ACCESS) NOTIFICATION
Control
|
The information system notifies the user, upon successful logon (access) to the system, of the date and time of the last logon (access). |
Supplemental guidance
This control is applicable to logons to information systems via human user interfaces and logons to systems that occur in other types of architectures (e.g., service-oriented architectures).
Objective
|
Determine if the information system notifies the user, upon successful logon (access) to the system, of the date and time of the last logon (access). |
Assessment: EXAMINE
Access control policy
procedures addressing previous logon notification
information system design documentation
information system configuration settings and associated documentation
information system notification messages
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developers
Assessment: TEST
Automated mechanisms implementing access control policy for previous logon notification
Control enhancements
AC-9 (1) UNSUCCESSFUL LOGONS
Control
|
The information system notifies the user, upon successful logon/access, of the number of unsuccessful logon/access attempts since the last successful logon/access. |
Objective
|
Determine if the information system notifies the user, upon successful logon/access, of the number of unsuccessful logon/access attempts since the last successful logon/access. |
Assessment: EXAMINE
Access control policy
procedures addressing previous logon notification
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developers
Assessment: TEST
Automated mechanisms implementing access control policy for previous logon notification
AC-9 (2) SUCCESSFUL / UNSUCCESSFUL LOGONS
Label: SELECT for { ancestor-or-self::*[@id][1]/@id }
successful logons/accesses
unsuccessful logon/access attempts
both
Label: INSERT into ac-9..2.
Parameter: ac-9_prm_2 organization-defined time period
Control
|
The information system notifies the user of the number of ac-9_prm_1 SELECT for { ancestor-or-self::*[@id][1]/@id } successful logons/accesses unsuccessful logon/access attempts both [NO PARAMETER VALUE GIVEN] during ac-9_prm_2 INSERT into ac-9..2. [NO PARAMETER VALUE GIVEN] . |
Objectives
|
Determine if:
|
Assessment: EXAMINE
Access control policy
procedures addressing previous logon notification
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developers
Assessment: TEST
Automated mechanisms implementing access control policy for previous logon notification
AC-9 (3) NOTIFICATION OF ACCOUNT CHANGES
Label: INSERT into ac-9..3.
Parameter: ac-9_prm_3 organization-defined security-related characteristics/parameters of the user’s account
Label: INSERT into ac-9..3.
Parameter: ac-9_prm_4 organization-defined time period
Control
|
The information system notifies the user of changes to ac-9_prm_3 INSERT into ac-9..3. [NO PARAMETER VALUE GIVEN] during ac-9_prm_4 INSERT into ac-9..3. [NO PARAMETER VALUE GIVEN] . |
Objectives
|
Determine if:
|
Assessment: EXAMINE
Access control policy
procedures addressing previous logon notification
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developers
Assessment: TEST
Automated mechanisms implementing access control policy for previous logon notification
AC-9 (4) ADDITIONAL LOGON INFORMATION
Label: INSERT into ac-9..4.
Parameter: ac-9_prm_5 organization-defined information to be included in addition to the date and time of the last logon (access)
Control
|
The information system notifies the user, upon successful logon (access), of the following additional information: ac-9_prm_5 INSERT into ac-9..4. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
This control enhancement permits organizations to specify additional information to be provided to users upon logon including, for example, the location of last logon. User location is defined as that information which can be determined by information systems, for example, IP addresses from which network logons occurred, device identifiers, or notifications of local logons.
Objectives
|
Determine if:
|
Assessment: EXAMINE
Access control policy
procedures addressing previous logon notification
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developers
Assessment: TEST
Automated mechanisms implementing access control policy for previous logon notification
References: None
AC-10 CONCURRENT SESSION CONTROL
Label: INSERT into ac-10
Parameter: ac-10_prm_1 organization-defined account and/or account type
Label: INSERT into ac-10
Parameter: ac-10_prm_2 organization-defined number
Control
|
The information system limits the number of concurrent sessions for each ac-10_prm_1 INSERT into ac-10 [NO PARAMETER VALUE GIVEN] to ac-10_prm_2 INSERT into ac-10 [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Organizations may define the maximum number of concurrent sessions for information system accounts globally, by account type (e.g., privileged user, non-privileged user, domain, specific application), by account, or a combination. For example, organizations may limit the number of concurrent sessions for system administrators or individuals working in particularly sensitive domains or mission-critical applications. This control addresses concurrent sessions for information system accounts and does not address concurrent sessions by single users via multiple system accounts.
Objectives
|
Determine if:
|
Assessment: EXAMINE
Access control policy
procedures addressing concurrent session control
information system design documentation
information system configuration settings and associated documentation
security plan
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developers
Assessment: TEST
Automated mechanisms implementing access control policy for concurrent session control
References: None
AC-11 SESSION LOCK
Label: INSERT into ac-11_smt_a (AC-11a.)
Parameter: ac-11_prm_1 organization-defined time period
Control
|
The information system:
|
Supplemental guidance
Session locks are temporary actions taken when users stop work and move away from the immediate vicinity of information systems but do not want to log out because of the temporary nature of their absences. Session locks are implemented where session activities can be determined. This is typically at the operating system level, but can also be at the application level. Session locks are not an acceptable substitute for logging out of information systems, for example, if organizations require users to log out at the end of workdays.
Objectives
|
Determine if:
|
Assessment: EXAMINE
Access control policy
procedures addressing session lock
procedures addressing identification and authentication
information system design documentation
information system configuration settings and associated documentation
security plan
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developers
Assessment: TEST
Automated mechanisms implementing access control policy for session lock
Control enhancements
AC-11 (1) PATTERN-HIDING DISPLAYS
Control
|
The information system conceals, via the session lock, information previously visible on the display with a publicly viewable image. |
Supplemental guidance
Publicly viewable images can include static or dynamic images, for example, patterns used with screen savers, photographic images, solid colors, clock, battery life indicator, or a blank screen, with the additional caveat that none of the images convey sensitive information.
Objective
|
Determine if the information system conceals, via the session lock, information previously visible on the display with a publicly viewable image. |
Assessment: EXAMINE
Access control policy
procedures addressing session lock
display screen with session lock activated
information system design documentation
information system configuration settings and associated documentation
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developers
Assessment: TEST
Information system session lock mechanisms
References
AC-12 SESSION TERMINATION
Label: INSERT into ac-12
Parameter: ac-12_prm_1 organization-defined conditions or trigger events requiring session disconnect
Control
|
The information system automatically terminates a user session after ac-12_prm_1 INSERT into ac-12 [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
This control addresses the termination of user-initiated logical sessions in contrast to SC-10 which addresses the termination of network connections that are associated with communications sessions (i.e., network disconnect). A logical session (for local, network, and remote access) is initiated whenever a user (or process acting on behalf of a user) accesses an organizational information system. Such user sessions can be terminated (and thus terminate user access) without terminating network sessions. Session termination terminates all processes associated with a user’s logical session except those processes that are specifically created by the user (i.e., session owner) to continue after the session is terminated. Conditions or trigger events requiring automatic session termination can include, for example, organization-defined periods of user inactivity, targeted responses to certain types of incidents, time-of-day restrictions on information system use.
Objectives
|
Determine if:
|
Assessment: EXAMINE
Access control policy
procedures addressing session termination
information system design documentation
information system configuration settings and associated documentation
list of conditions or trigger events requiring session disconnect
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developers
Assessment: TEST
Automated mechanisms implementing user session termination
Control enhancements
AC-12 (1) USER-INITIATED LOGOUTS / MESSAGE DISPLAYS
Label: INSERT into ac-12..1._smt_a (AC-12 (1)(a))
Parameter: ac-12_prm_2 organization-defined information resources
Control
|
The information system:
|
Supplemental guidance
Information resources to which users gain access via authentication include, for example, local workstations, databases, and password-protected websites/web-based services. Logout messages for web page access, for example, can be displayed after authenticated sessions have been terminated. However, for some types of interactive sessions including, for example, file transfer protocol (FTP) sessions, information systems typically send logout messages as final messages prior to terminating sessions.
Objectives
|
Determine if:
|
Assessment: EXAMINE
Access control policy
procedures addressing session termination
user logout messages
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developers
Assessment: TEST
Information system session lock mechanisms
References: None
AC-13 SUPERVISION AND REVIEW - ACCESS CONTROL
cf AU-6: AUDIT REVIEW, ANALYSIS, AND REPORTING
Control
|
Withdrawn: Incorporated into AC-2 and AU-6. |
References: None
AC-14 PERMITTED ACTIONS WITHOUT IDENTIFICATION OR AUTHENTICATION
Label: INSERT into ac-14_smt_a (AC-14a.)
Parameter: ac-14_prm_1 organization-defined user actions
Control
|
The organization:
|
Supplemental guidance
This control addresses situations in which organizations determine that no identification or authentication is required in organizational information systems. Organizations may allow a limited number of user actions without identification or authentication including, for example, when individuals access public websites or other publicly accessible federal information systems, when individuals use mobile phones to receive calls, or when facsimiles are received. Organizations also identify actions that normally require identification or authentication but may under certain circumstances (e.g., emergencies), allow identification or authentication mechanisms to be bypassed. Such bypasses may occur, for example, via a software-readable physical switch that commands bypass of the logon functionality and is protected from accidental or unmonitored use. This control does not apply to situations where identification and authentication have already occurred and are not repeated, but rather to situations where identification and authentication have not yet occurred. Organizations may decide that there are no user actions that can be performed on organizational information systems without identification and authentication and thus, the values for assignment statements can be none.
cf IA-2: IDENTIFICATION AND AUTHENTICATION (ORGANIZATIONAL USERS)
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Access control policy
procedures addressing permitted actions without identification or authentication
information system configuration settings and associated documentation
security plan
list of user actions that can be performed without identification or authentication
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
Control enhancements
AC-14 (1) NECESSARY USES
cf AC-14: PERMITTED ACTIONS WITHOUT IDENTIFICATION OR AUTHENTICATION
Control
|
Withdrawn: Incorporated into AC-14. |
References: None
AC-15 AUTOMATED MARKING
Control
|
Withdrawn: Incorporated into MP-3. |
References: None
AC-16 SECURITY ATTRIBUTES
Label: INSERT into ac-16_smt_a (AC-16a.)
Parameter: ac-16_prm_1 organization-defined types of security attributes
Label: INSERT into ac-16_smt_a (AC-16a.)
Parameter: ac-16_prm_2 organization-defined security attribute values
Label: INSERT into ac-16_smt_c (AC-16c.)
Parameter: ac-16_prm_3 organization-defined security attributes
Label: INSERT into ac-16_smt_c (AC-16c.)
Parameter: ac-16_prm_4 organization-defined information systems
Label: INSERT into ac-16_smt_d (AC-16d.)
Parameter: ac-16_prm_5 organization-defined values or ranges
Control
|
The organization:
|
Supplemental guidance
Information is represented internally within information systems using abstractions known as data structures. Internal data structures can represent different types of entities, both active and passive. Active entities, also known as subjects, are typically associated with individuals, devices, or processes acting on behalf of individuals. Passive entities, also known as objects, are typically associated with data structures such as records, buffers, tables, files, inter-process pipes, and communications ports. Security attributes, a form of metadata, are abstractions representing the basic properties or characteristics of active and passive entities with respect to safeguarding information. These attributes may be associated with active entities (i.e., subjects) that have the potential to send or receive information, to cause information to flow among objects, or to change the information system state. These attributes may also be associated with passive entities (i.e., objects) that contain or receive information. The association of security attributes to subjects and objects is referred to as binding and is typically inclusive of setting the attribute value and the attribute type. Security attributes when bound to data/information, enables the enforcement of information security policies for access control and information flow control, either through organizational processes or information system functions or mechanisms. The content or assigned values of security attributes can directly affect the ability of individuals to access organizational information. Organizations can define the types of attributes needed for selected information systems to support missions/business functions. There is potentially a wide range of values that can be assigned to any given security attribute. Release markings could include, for example, US only, NATO, or NOFORN (not releasable to foreign nationals). By specifying permitted attribute ranges and values, organizations can ensure that the security attribute values are meaningful and relevant. The term security labeling refers to the association of security attributes with subjects and objects represented by internal data structures within organizational information systems, to enable information system-based enforcement of information security policies. Security labels include, for example, access authorizations, data life cycle protection (i.e., encryption and data expiration), nationality, affiliation as contractor, and classification of information in accordance with legal and compliance requirements. The term security marking refers to the association of security attributes with objects in a human-readable form, to enable organizational process-based enforcement of information security policies. The AC-16 base control represents the requirement for user-based attribute association (marking). The enhancements to AC-16 represent additional requirements including information system-based attribute association (labeling). Types of attributes include, for example, classification level for objects and clearance (access authorization) level for subjects. An example of a value for both of these attribute types is Top Secret.
cf AC-4: INFORMATION FLOW ENFORCEMENT
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Access control policy
procedures addressing the association of security attributes to information in storage, in process, and in transmission
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developers
Assessment: TEST
Organizational capability supporting and maintaining the association of security attributes to information in storage, in process, and in transmission
Control enhancements
AC-16 (1) DYNAMIC ATTRIBUTE ASSOCIATION
Label: INSERT into ac-16..1.
Parameter: ac-16_prm_6 organization-defined subjects and objects
Label: INSERT into ac-16..1.
Parameter: ac-16_prm_7 organization-defined security policies
Control
|
The information system dynamically associates security attributes with ac-16_prm_6 INSERT into ac-16..1. [NO PARAMETER VALUE GIVEN] in accordance with ac-16_prm_7 INSERT into ac-16..1. [NO PARAMETER VALUE GIVEN] as information is created and combined. |
Supplemental guidance
Dynamic association of security attributes is appropriate whenever the security characteristics of information changes over time. Security attributes may change, for example, due to information aggregation issues (i.e., the security characteristics of individual information elements are different from the combined elements), changes in individual access authorizations (i.e., privileges), and changes in the security category of information.
Objectives
|
Determine if:
|
Assessment: EXAMINE
Access control policy
procedures addressing dynamic association of security attributes to information
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developers
Assessment: TEST
Automated mechanisms implementing dynamic association of security attributes to information
AC-16 (2) ATTRIBUTE VALUE CHANGES BY AUTHORIZED INDIVIDUALS
Control
|
The information system provides authorized individuals (or processes acting on behalf of individuals) the capability to define or change the value of associated security attributes. |
Supplemental guidance
The content or assigned values of security attributes can directly affect the ability of individuals to access organizational information. Therefore, it is important for information systems to be able to limit the ability to create or modify security attributes to authorized individuals.
Objective
|
Determine if the information system provides authorized individuals (or processes acting on behalf on individuals) the capability to define or change the value of associated security attributes. |
Assessment: EXAMINE
Access control policy
procedures addressing the change of security attribute values
information system design documentation
information system configuration settings and associated documentation
list of individuals authorized to change security attributes
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibilities for changing values of security attributes
organizational personnel with information security responsibilities
system developers
Assessment: TEST
Automated mechanisms permitting changes to values of security attributes
AC-16 (3) MAINTENANCE OF ATTRIBUTE ASSOCIATIONS BY INFORMATION SYSTEM
Label: INSERT into ac-16..3.
Parameter: ac-16_prm_8 organization-defined security attributes
Label: INSERT into ac-16..3.
Parameter: ac-16_prm_9 organization-defined subjects and objects
Control
|
The information system maintains the association and integrity of ac-16_prm_8 INSERT into ac-16..3. [NO PARAMETER VALUE GIVEN] to ac-16_prm_9 INSERT into ac-16..3. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Maintaining the association and integrity of security attributes to subjects and objects with sufficient assurance helps to ensure that the attribute associations can be used as the basis of automated policy actions. Automated policy actions include, for example, access control decisions or information flow control decisions.
Objectives
|
Determine if:
|
Assessment: EXAMINE
Access control policy
procedures addressing the association of security attributes to information
information system design documentation
information system configuration settings and associated documentation
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information security responsibilities
system developers
Assessment: TEST
Automated mechanisms maintaining association and integrity of security attributes to information
AC-16 (4) ASSOCIATION OF ATTRIBUTES BY AUTHORIZED INDIVIDUALS
Label: INSERT into ac-16..4.
Parameter: ac-16_prm_10 organization-defined security attributes
Label: INSERT into ac-16..4.
Parameter: ac-16_prm_11 organization-defined subjects and objects
Control
|
The information system supports the association of ac-16_prm_10 INSERT into ac-16..4. [NO PARAMETER VALUE GIVEN] with ac-16_prm_11 INSERT into ac-16..4. [NO PARAMETER VALUE GIVEN] by authorized individuals (or processes acting on behalf of individuals). |
Supplemental guidance
The support provided by information systems can vary to include: (i) prompting users to select specific security attributes to be associated with specific information objects; (ii) employing automated mechanisms for categorizing information with appropriate attributes based on defined policies; or (iii) ensuring that the combination of selected security attributes selected is valid. Organizations consider the creation, deletion, or modification of security attributes when defining auditable events.
Objectives
|
Determine if:
|
Assessment: EXAMINE
Access control policy
procedures addressing the association of security attributes to information
information system design documentation
information system configuration settings and associated documentation
list of users authorized to associate security attributes to information
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibilities for associating security attributes to information
organizational personnel with information security responsibilities
system developers
Assessment: TEST
Automated mechanisms supporting user associations of security attributes to information
AC-16 (5) ATTRIBUTE DISPLAYS FOR OUTPUT DEVICES
Label: INSERT into ac-16..5.
Parameter: ac-16_prm_12 organization-identified special dissemination, handling, or distribution instructions
Label: INSERT into ac-16..5.
Parameter: ac-16_prm_13 organization-identified human-readable, standard naming conventions
Control
|
The information system displays security attributes in human-readable form on each object that the system transmits to output devices to identify ac-16_prm_12 INSERT into ac-16..5. [NO PARAMETER VALUE GIVEN] using ac-16_prm_13 INSERT into ac-16..5. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Information system outputs include, for example, pages, screens, or equivalent. Information system output devices include, for example, printers and video displays on computer workstations, notebook computers, and personal digital assistants.
Objectives
|
Determine if:
|
Assessment: EXAMINE
Access control policy
procedures addressing display of security attributes in human-readable form
special dissemination, handling, or distribution instructions
types of human-readable, standard naming conventions
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information security responsibilities
system developers
Assessment: TEST
System output devices displaying security attributes in human-readable form on each object
AC-16 (6) MAINTENANCE OF ATTRIBUTE ASSOCIATION BY ORGANIZATION
Label: INSERT into ac-16..6.
Parameter: ac-16_prm_14 organization-defined security attributes
Label: INSERT into ac-16..6.
Parameter: ac-16_prm_15 organization-defined subjects and objects
Label: INSERT into ac-16..6.
Parameter: ac-16_prm_16 organization-defined security policies
Control
|
The organization allows personnel to associate, and maintain the association of ac-16_prm_14 INSERT into ac-16..6. [NO PARAMETER VALUE GIVEN] with ac-16_prm_15 INSERT into ac-16..6. [NO PARAMETER VALUE GIVEN] in accordance with ac-16_prm_16 INSERT into ac-16..6. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
This control enhancement requires individual users (as opposed to the information system) to maintain associations of security attributes with subjects and objects.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Access control policy
procedures addressing association of security attributes with subjects and objects
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibilities for associating and maintaining association of security attributes with subjects and objects
organizational personnel with information security responsibilities
system developers
Assessment: TEST
Automated mechanisms supporting associations of security attributes to subjects and objects
AC-16 (7) CONSISTENT ATTRIBUTE INTERPRETATION
Control
|
The organization provides a consistent interpretation of security attributes transmitted between distributed information system components. |
Supplemental guidance
In order to enforce security policies across multiple components in distributed information systems (e.g., distributed database management systems, cloud-based systems, and service-oriented architectures), organizations provide a consistent interpretation of security attributes that are used in access enforcement and flow enforcement decisions. Organizations establish agreements and processes to ensure that all distributed information system components implement security attributes with consistent interpretations in automated access/flow enforcement actions.
Objective
|
Determine if the organization provides a consistent interpretation of security attributes transmitted between distributed information system components. |
Assessment: EXAMINE
Access control policy
procedures addressing consistent interpretation of security attributes transmitted between distributed information system components
procedures addressing access enforcement
procedures addressing information flow enforcement
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibilities for providing consistent interpretation of security attributes used in access enforcement and information flow enforcement actions
organizational personnel with information security responsibilities
system developers
Assessment: TEST
Automated mechanisms implementing access enforcement and information flow enforcement functions
AC-16 (8) ASSOCIATION TECHNIQUES / TECHNOLOGIES
Label: INSERT into ac-16..8.
Parameter: ac-16_prm_17 organization-defined techniques or technologies
Label: INSERT into ac-16..8.
Parameter: ac-16_prm_18 organization-defined level of assurance
Control
|
The information system implements ac-16_prm_17 INSERT into ac-16..8. [NO PARAMETER VALUE GIVEN] with ac-16_prm_18 INSERT into ac-16..8. [NO PARAMETER VALUE GIVEN] in associating security attributes to information. |
Supplemental guidance
The association (i.e., binding) of security attributes to information within information systems is of significant importance with regard to conducting automated access enforcement and flow enforcement actions. The association of such security attributes can be accomplished with technologies/techniques providing different levels of assurance. For example, information systems can cryptographically bind security attributes to information using digital signatures with the supporting cryptographic keys protected by hardware devices (sometimes known as hardware roots of trust).
Objectives
|
Determine if:
|
Assessment: EXAMINE
Access control policy
procedures addressing association of security attributes to information
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibilities for associating security attributes to information
organizational personnel with information security responsibilities
system developers
Assessment: TEST
Automated mechanisms implementing techniques or technologies associating security attributes to information
AC-16 (9) ATTRIBUTE REASSIGNMENT
Label: INSERT into ac-16..9.
Parameter: ac-16_prm_19 organization-defined techniques or procedures
Control
|
The organization ensures that security attributes associated with information are reassigned only via re-grading mechanisms validated using ac-16_prm_19 INSERT into ac-16..9. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Validated re-grading mechanisms are employed by organizations to provide the requisite levels of assurance for security attribute reassignment activities. The validation is facilitated by ensuring that re-grading mechanisms are single purpose and of limited function. Since security attribute reassignments can affect security policy enforcement actions (e.g., access/flow enforcement decisions), using trustworthy re-grading mechanisms is necessary to ensure that such mechanisms perform in a consistent/correct mode of operation.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Access control policy
procedures addressing reassignment of security attributes to information
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibilities for reassigning association of security attributes to information
organizational personnel with information security responsibilities
system developers
Assessment: TEST
Automated mechanisms implementing techniques or procedures for reassigning association of security attributes to information
AC-16 (10) ATTRIBUTE CONFIGURATION BY AUTHORIZED INDIVIDUALS
Control
|
The information system provides authorized individuals the capability to define or change the type and value of security attributes available for association with subjects and objects. |
Supplemental guidance
The content or assigned values of security attributes can directly affect the ability of individuals to access organizational information. Therefore, it is important for information systems to be able to limit the ability to create or modify security attributes to authorized individuals only.
Objective
|
Determine if the information system provides authorized individuals the capability to define or change the type and value of security attributes available for association with subjects and objects. |
Assessment: EXAMINE
Access control policy
procedures addressing configuration of security attributes by authorized individuals
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibilities for defining or changing security attributes associated with information
organizational personnel with information security responsibilities
system developers
Assessment: TEST
Automated mechanisms implementing capability for defining or changing security attributes
References: None
AC-17 REMOTE ACCESS
Control
|
The organization:
|
Supplemental guidance
Remote access is access to organizational information systems by users (or processes acting on behalf of users) communicating through external networks (e.g., the Internet). Remote access methods include, for example, dial-up, broadband, and wireless. Organizations often employ encrypted virtual private networks (VPNs) to enhance confidentiality and integrity over remote connections. The use of encrypted VPNs does not make the access non-remote; however, the use of VPNs, when adequately provisioned with appropriate security controls (e.g., employing appropriate encryption techniques for confidentiality and integrity protection) may provide sufficient assurance to the organization that it can effectively treat such connections as internal networks. Still, VPN connections traverse external networks, and the encrypted VPN does not enhance the availability of remote connections. Also, VPNs with encrypted tunnels can affect the organizational capability to adequately monitor network communications traffic for malicious code. Remote access controls apply to information systems other than public web servers or systems designed for public access. This control addresses authorization prior to allowing remote access without specifying the formats for such authorization. While organizations may use interconnection security agreements to authorize remote access connections, such agreements are not required by this control. Enforcing access restrictions for remote connections is addressed in AC-3.
cf AC-19: ACCESS CONTROL FOR MOBILE DEVICES
cf AC-20: USE OF EXTERNAL INFORMATION SYSTEMS
cf CA-3: SYSTEM INTERCONNECTIONS
cf CA-7: CONTINUOUS MONITORING
cf CM-8: INFORMATION SYSTEM COMPONENT INVENTORY
cf IA-2: IDENTIFICATION AND AUTHENTICATION (ORGANIZATIONAL USERS)
cf IA-3: DEVICE IDENTIFICATION AND AUTHENTICATION
cf IA-8: IDENTIFICATION AND AUTHENTICATION (NON-ORGANIZATIONAL USERS)
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Access control policy
procedures addressing remote access implementation and usage (including restrictions)
configuration management plan
security plan
information system configuration settings and associated documentation
remote access authorizations
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibilities for managing remote access connections
system/network administrators
organizational personnel with information security responsibilities
Assessment: TEST
Remote access management capability for the information system
Control enhancements
AC-17 (1) AUTOMATED MONITORING / CONTROL
Control
|
The information system monitors and controls remote access methods. |
Supplemental guidance
Automated monitoring and control of remote access sessions allows organizations to detect cyber attacks and also ensure ongoing compliance with remote access policies by auditing connection activities of remote users on a variety of information system components (e.g., servers, workstations, notebook computers, smart phones, and tablets).
Objective
|
Determine if the information system monitors and controls remote access methods. |
Assessment: EXAMINE
Access control policy
procedures addressing remote access to the information system
information system design documentation
information system configuration settings and associated documentation
information system audit records
information system monitoring records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developers
Assessment: TEST
Automated mechanisms monitoring and controlling remote access methods
AC-17 (2) PROTECTION OF CONFIDENTIALITY / INTEGRITY USING ENCRYPTION
Control
|
The information system implements cryptographic mechanisms to protect the confidentiality and integrity of remote access sessions. |
Supplemental guidance
The encryption strength of mechanism is selected based on the security categorization of the information.
cf SC-8: TRANSMISSION CONFIDENTIALITY AND INTEGRITY
Objective
|
Determine if the information system implements cryptographic mechanisms to protect the confidentiality and integrity of remote access sessions. |
Assessment: EXAMINE
Access control policy
procedures addressing remote access to the information system
information system design documentation
information system configuration settings and associated documentation
cryptographic mechanisms and associated configuration documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developers
Assessment: TEST
Cryptographic mechanisms protecting confidentiality and integrity of remote access sessions
AC-17 (3) MANAGED ACCESS CONTROL POINTS
Label: INSERT into ac-17..3.
Parameter: ac-17_prm_1 organization-defined number
Control
|
The information system routes all remote accesses through ac-17_prm_1 INSERT into ac-17..3. [NO PARAMETER VALUE GIVEN] managed network access control points. |
Supplemental guidance
Limiting the number of access control points for remote accesses reduces the attack surface for organizations. Organizations consider the Trusted Internet Connections (TIC) initiative requirements for external network connections.
Objectives
|
Determine if:
|
Assessment: EXAMINE
Access control policy
procedures addressing remote access to the information system
information system design documentation
list of all managed network access control points
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms routing all remote accesses through managed network access control points
AC-17 (4) PRIVILEGED COMMANDS / ACCESS
Label: INSERT into ac-17..4._smt_a (AC-17 (4)(a))
Parameter: ac-17_prm_2 organization-defined needs
Control
|
The organization:
|
Supplemental guidance
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Access control policy
procedures addressing remote access to the information system
information system configuration settings and associated documentation
security plan
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms implementing remote access management
AC-17 (5) MONITORING FOR UNAUTHORIZED CONNECTIONS
cf SI-4: INFORMATION SYSTEM MONITORING
Control
|
Withdrawn: Incorporated into SI-4. |
AC-17 (6) PROTECTION OF INFORMATION
Control
|
The organization ensures that users protect information about remote access mechanisms from unauthorized use and disclosure. |
Objective
|
Determine if the organization ensures that users protect information about remote access mechanisms from unauthorized use and disclosure. |
Assessment: EXAMINE
Access control policy
procedures addressing remote access to the information system
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibilities for implementing or monitoring remote access to the information system
information system users with knowledge of information about remote access mechanisms
organizational personnel with information security responsibilities
AC-17 (7) ADDITIONAL PROTECTION FOR SECURITY FUNCTION ACCESS
cf AC-3 (10): AUDITED OVERRIDE OF ACCESS CONTROL MECHANISMS
Control
|
Withdrawn: Incorporated into AC-3 (10). |
AC-17 (8) DISABLE NONSECURE NETWORK PROTOCOLS
Control
|
Withdrawn: Incorporated into CM-7. |
AC-17 (9) DISCONNECT / DISABLE ACCESS
Label: INSERT into ac-17..9.
Parameter: ac-17_prm_3 organization-defined time period
Control
|
The organization provides the capability to expeditiously disconnect or disable remote access to the information system within ac-17_prm_3 INSERT into ac-17..9. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
This control enhancement requires organizations to have the capability to rapidly disconnect current users remotely accessing the information system and/or disable further remote access. The speed of disconnect or disablement varies based on the criticality of missions/business functions and the need to eliminate immediate or future remote access to organizational information systems.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Access control policy
procedures addressing disconnecting or disabling remote access to the information system
information system design documentation
information system configuration settings and associated documentation
security plan, information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developers
Assessment: TEST
Automated mechanisms implementing capability to disconnect or disable remote access to information system
AC-18 WIRELESS ACCESS
Control
|
The organization:
|
Supplemental guidance
Wireless technologies include, for example, microwave, packet radio (UHF/VHF), 802.11x, and Bluetooth. Wireless networks use authentication protocols (e.g., EAP/TLS, PEAP), which provide credential protection and mutual authentication.
cf AC-19: ACCESS CONTROL FOR MOBILE DEVICES
cf CA-3: SYSTEM INTERCONNECTIONS
cf CA-7: CONTINUOUS MONITORING
cf CM-8: INFORMATION SYSTEM COMPONENT INVENTORY
cf IA-2: IDENTIFICATION AND AUTHENTICATION (ORGANIZATIONAL USERS)
cf IA-3: DEVICE IDENTIFICATION AND AUTHENTICATION
cf IA-8: IDENTIFICATION AND AUTHENTICATION (NON-ORGANIZATIONAL USERS)
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Access control policy
procedures addressing wireless access implementation and usage (including restrictions)
configuration management plan
security plan
information system design documentation
information system configuration settings and associated documentation
wireless access authorizations
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibilities for managing wireless access connections
organizational personnel with information security responsibilities
Assessment: TEST
Wireless access management capability for the information system
Control enhancements
AC-18 (1) AUTHENTICATION AND ENCRYPTION
Label: SELECT for { ancestor-or-self::*[@id][1]/@id }
users
devices
Control
|
The information system protects wireless access to the system using authentication of ac-18_prm_1 SELECT for { ancestor-or-self::*[@id][1]/@id } users devices [NO PARAMETER VALUE GIVEN] and encryption. |
Supplemental guidance
Objectives
|
Determine if the information system protects wireless access to the system using encryption and one or more of the following:
|
Assessment: EXAMINE
Access control policy
procedures addressing wireless implementation and usage (including restrictions)
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developers
Assessment: TEST
Automated mechanisms implementing wireless access protections to the information system
AC-18 (2) MONITORING UNAUTHORIZED CONNECTIONS
cf SI-4: INFORMATION SYSTEM MONITORING
Control
|
Withdrawn: Incorporated into SI-4. |
AC-18 (3) DISABLE WIRELESS NETWORKING
Control
|
The organization disables, when not intended for use, wireless networking capabilities internally embedded within information system components prior to issuance and deployment. |
Supplemental guidance
Objective
|
Determine if the organization disables, when not intended for use, wireless networking capabilities internally embedded within information system components prior to issuance and deployment. |
Assessment: EXAMINE
Access control policy
procedures addressing wireless implementation and usage (including restrictions)
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms managing the disabling of wireless networking capabilities internally embedded within information system components
AC-18 (4) RESTRICT CONFIGURATIONS BY USERS
Control
|
The organization identifies and explicitly authorizes users allowed to independently configure wireless networking capabilities. |
Supplemental guidance
Organizational authorizations to allow selected users to configure wireless networking capability are enforced in part, by the access enforcement mechanisms employed within organizational information systems.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Access control policy
procedures addressing wireless implementation and usage (including restrictions)
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms authorizing independent user configuration of wireless networking capabilities
AC-18 (5) ANTENNAS / TRANSMISSION POWER LEVELS
Control
|
The organization selects radio antennas and calibrates transmission power levels to reduce the probability that usable signals can be received outside of organization-controlled boundaries. |
Supplemental guidance
Actions that may be taken by organizations to limit unauthorized use of wireless communications outside of organization-controlled boundaries include, for example: (i) reducing the power of wireless transmissions so that the transmissions are less likely to emit a signal that can be used by adversaries outside of the physical perimeters of organizations; (ii) employing measures such as TEMPEST to control wireless emanations; and (iii) using directional/beam forming antennas that reduce the likelihood that unintended receivers will be able to intercept signals. Prior to taking such actions, organizations can conduct periodic wireless surveys to understand the radio frequency profile of organizational information systems as well as other systems that may be operating in the area.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Access control policy
procedures addressing wireless implementation and usage (including restrictions)
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
Assessment: TEST
Wireless access capability protecting usable signals from unauthorized access outside organization-controlled boundaries
AC-19 ACCESS CONTROL FOR MOBILE DEVICES
Control
|
The organization:
|
Supplemental guidance
A mobile device is a computing device that: (i) has a small form factor such that it can easily be carried by a single individual; (ii) is designed to operate without a physical connection (e.g., wirelessly transmit or receive information); (iii) possesses local, non-removable or removable data storage; and (iv) includes a self-contained power source. Mobile devices may also include voice communication capabilities, on-board sensors that allow the device to capture information, and/or built-in features for synchronizing local data with remote locations. Examples include smart phones, E-readers, and tablets. Mobile devices are typically associated with a single individual and the device is usually in close proximity to the individual; however, the degree of proximity can vary depending upon on the form factor and size of the device. The processing, storage, and transmission capability of the mobile device may be comparable to or merely a subset of desktop systems, depending upon the nature and intended purpose of the device. Due to the large variety of mobile devices with different technical characteristics and capabilities, organizational restrictions may vary for the different classes/types of such devices. Usage restrictions and specific implementation guidance for mobile devices include, for example, configuration management, device identification and authentication, implementation of mandatory protective software (e.g., malicious code detection, firewall), scanning devices for malicious code, updating virus protection software, scanning for critical software updates and patches, conducting primary operating system (and possibly other resident software) integrity checks, and disabling unnecessary hardware (e.g., wireless, infrared). Organizations are cautioned that the need to provide adequate security for mobile devices goes beyond the requirements in this control. Many safeguards and countermeasures for mobile devices are reflected in other security controls in the catalog allocated in the initial control baselines as starting points for the development of security plans and overlays using the tailoring process. There may also be some degree of overlap in the requirements articulated by the security controls within the different families of controls. AC-20 addresses mobile devices that are not organization-controlled.
cf AC-7: UNSUCCESSFUL LOGON ATTEMPTS
cf AC-20: USE OF EXTERNAL INFORMATION SYSTEMS
cf CA-9: INTERNAL SYSTEM CONNECTIONS
cf CM-2: BASELINE CONFIGURATION
cf IA-2: IDENTIFICATION AND AUTHENTICATION (ORGANIZATIONAL USERS)
cf IA-3: DEVICE IDENTIFICATION AND AUTHENTICATION
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Access control policy
procedures addressing access control for mobile device usage (including restrictions)
configuration management plan
security plan
information system design documentation
information system configuration settings and associated documentation
authorizations for mobile device connections to organizational information systems
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel using mobile devices to access organizational information systems
system/network administrators
organizational personnel with information security responsibilities
Assessment: TEST
Access control capability authorizing mobile device connections to organizational information systems
Control enhancements
AC-19 (1) USE OF WRITABLE / PORTABLE STORAGE DEVICES
Control
|
Withdrawn: Incorporated into MP-7. |
AC-19 (2) USE OF PERSONALLY OWNED PORTABLE STORAGE DEVICES
Control
|
Withdrawn: Incorporated into MP-7. |
AC-19 (3) USE OF PORTABLE STORAGE DEVICES WITH NO IDENTIFIABLE OWNER
Control
|
Withdrawn: Incorporated into MP-7. |
AC-19 (4) RESTRICTIONS FOR CLASSIFIED INFORMATION
Label: INSERT into ac-19..4._smt_b.4 (AC-19 (4)(b)(4))
Parameter: ac-19_prm_1 organization-defined security officials
Label: INSERT into ac-19..4._smt_c (AC-19 (4)(c))
Parameter: ac-19_prm_2 organization-defined security policies
Control
|
The organization:
|
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Access control policy
incident handling policy
procedures addressing access control for mobile devices
information system design documentation
information system configuration settings and associated documentation
evidentiary documentation for random inspections and reviews of mobile devices
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel responsible for random reviews/inspections of mobile devices
organizational personnel using mobile devices in facilities containing information systems processing, storing, or transmitting classified information
organizational personnel with incident response responsibilities
system/network administrators
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms prohibiting the use of internal or external modems or wireless interfaces with mobile devices
AC-19 (5) FULL DEVICE / CONTAINER-BASED ENCRYPTION
Label: SELECT for { ancestor-or-self::*[@id][1]/@id }
full-device encryption
container encryption
Label: INSERT into ac-19..5.
Parameter: ac-19_prm_4 organization-defined mobile devices
Control
|
The organization employs ac-19_prm_3 SELECT for { ancestor-or-self::*[@id][1]/@id } full-device encryption container encryption [NO PARAMETER VALUE GIVEN] to protect the confidentiality and integrity of information on ac-19_prm_4 INSERT into ac-19..5. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Container-based encryption provides a more fine-grained approach to the encryption of data/information on mobile devices, including for example, encrypting selected data structures such as files, records, or fields.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Access control policy
procedures addressing access control for mobile devices
information system design documentation
information system configuration settings and associated documentation
encryption mechanism s and associated configuration documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with access control responsibilities for mobile devices
system/network administrators
organizational personnel with information security responsibilities
Assessment: TEST
Encryption mechanisms protecting confidentiality and integrity of information on mobile devices
AC-20 USE OF EXTERNAL INFORMATION SYSTEMS
Control
|
The organization establishes terms and conditions, consistent with any trust relationships established with other organizations owning, operating, and/or maintaining external information systems, allowing authorized individuals to:
|
Supplemental guidance
External information systems are information systems or components of information systems that are outside of the authorization boundary established by organizations and for which organizations typically have no direct supervision and authority over the application of required security controls or the assessment of control effectiveness. External information systems include, for example: (i) personally owned information systems/devices (e.g., notebook computers, smart phones, tablets, personal digital assistants); (ii) privately owned computing and communications devices resident in commercial or public facilities (e.g., hotels, train stations, convention centers, shopping malls, or airports); (iii) information systems owned or controlled by nonfederal governmental organizations; and (iv) federal information systems that are not owned by, operated by, or under the direct supervision and authority of organizations. This control also addresses the use of external information systems for the processing, storage, or transmission of organizational information, including, for example, accessing cloud services (e.g., infrastructure as a service, platform as a service, or software as a service) from organizational information systems. For some external information systems (i.e., information systems operated by other federal agencies, including organizations subordinate to those agencies), the trust relationships that have been established between those organizations and the originating organization may be such, that no explicit terms and conditions are required. Information systems within these organizations would not be considered external. These situations occur when, for example, there are pre-existing sharing/trust agreements (either implicit or explicit) established between federal agencies or organizations subordinate to those agencies, or when such trust agreements are specified by applicable laws, Executive Orders, directives, or policies. Authorized individuals include, for example, organizational personnel, contractors, or other individuals with authorized access to organizational information systems and over which organizations have the authority to impose rules of behavior with regard to system access. Restrictions that organizations impose on authorized individuals need not be uniform, as those restrictions may vary depending upon the trust relationships between organizations. Therefore, organizations may choose to impose different security restrictions on contractors than on state, local, or tribal governments. This control does not apply to the use of external information systems to access public interfaces to organizational information systems (e.g., individuals accessing federal information through www.usa.gov). Organizations establish terms and conditions for the use of external information systems in accordance with organizational security policies and procedures. Terms and conditions address as a minimum: types of applications that can be accessed on organizational information systems from external information systems; and the highest security category of information that can be processed, stored, or transmitted on external information systems. If terms and conditions with the owners of external information systems cannot be established, organizations may impose restrictions on organizational personnel using those external systems.
cf AC-19: ACCESS CONTROL FOR MOBILE DEVICES
Objectives
|
Determine if the organization establishes terms and conditions, consistent with any trust relationships established with other organizations owning, operating, and/or maintaining external information systems, allowing authorized individuals to:
|
Assessment: EXAMINE
Access control policy
procedures addressing the use of external information systems
external information systems terms and conditions
list of types of applications accessible from external information systems
maximum security categorization for information processed, stored, or transmitted on external information systems
information system configuration settings and associated documentation
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibilities for defining terms and conditions for use of external information systems to access organizational systems
system/network administrators
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms implementing terms and conditions on use of external information systems
Control enhancements
AC-20 (1) LIMITS ON AUTHORIZED USE
Control
|
The organization permits authorized individuals to use an external information system to access the information system or to process, store, or transmit organization-controlled information only when the organization:
|
Supplemental guidance
This control enhancement recognizes that there are circumstances where individuals using external information systems (e.g., contractors, coalition partners) need to access organizational information systems. In those situations, organizations need confidence that the external information systems contain the necessary security safeguards (i.e., security controls), so as not to compromise, damage, or otherwise harm organizational information systems. Verification that the required security controls have been implemented can be achieved, for example, by third-party, independent assessments, attestations, or other means, depending on the confidence level required by organizations.
Objectives
|
Determine if the organization permits authorized individuals to use an external information system to access the information system or to process, store, or transmit organization-controlled information only when the organization:
|
Assessment: EXAMINE
Access control policy
procedures addressing the use of external information systems
security plan
information system connection or processing agreements
account management documents
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms implementing limits on use of external information systems
AC-20 (2) PORTABLE STORAGE DEVICES
Label: SELECT for { ancestor-or-self::*[@id][1]/@id }
restricts
prohibits
Control
|
The organization ac-20_prm_1 SELECT for { ancestor-or-self::*[@id][1]/@id } restricts prohibits [NO PARAMETER VALUE GIVEN] the use of organization-controlled portable storage devices by authorized individuals on external information systems. |
Supplemental guidance
Limits on the use of organization-controlled portable storage devices in external information systems include, for example, complete prohibition of the use of such devices or restrictions on how the devices may be used and under what conditions the devices may be used.
Objective
|
Determine if the organization restricts or prohibits the use of organization-controlled portable storage devices by authorized individuals on external information systems. |
Assessment: EXAMINE
Access control policy
procedures addressing the use of external information systems
security plan
information system configuration settings and associated documentation
information system connection or processing agreements
account management documents
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibilities for restricting or prohibiting use of organization-controlled storage devices on external information systems
system/network administrators
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms implementing restrictions on use of portable storage devices
AC-20 (3) NON-ORGANIZATIONALLY OWNED SYSTEMS / COMPONENTS / DEVICES
Label: SELECT for { ancestor-or-self::*[@id][1]/@id }
restricts
prohibits
Control
|
The organization ac-20_prm_2 SELECT for { ancestor-or-self::*[@id][1]/@id } restricts prohibits [NO PARAMETER VALUE GIVEN] the use of non-organizationally owned information systems, system components, or devices to process, store, or transmit organizational information. |
Supplemental guidance
Non-organizationally owned devices include devices owned by other organizations (e.g., federal/state agencies, contractors) and personally owned devices. There are risks to using non-organizationally owned devices. In some cases, the risk is sufficiently high as to prohibit such use. In other cases, it may be such that the use of non-organizationally owned devices is allowed but restricted in some way. Restrictions include, for example: (i) requiring the implementation of organization-approved security controls prior to authorizing such connections; (ii) limiting access to certain types of information, services, or applications; (iii) using virtualization techniques to limit processing and storage activities to servers or other system components provisioned by the organization; and (iv) agreeing to terms and conditions for usage. For personally owned devices, organizations consult with the Office of the General Counsel regarding legal issues associated with using such devices in operational environments, including, for example, requirements for conducting forensic analyses during investigations after an incident.
Objective
|
Determine if the organization restricts or prohibits the use of non-organizationally owned information systems, system components, or devices to process, store, or transmit organizational information. |
Assessment: EXAMINE
Access control policy
procedures addressing the use of external information systems
security plan
information system design documentation
information system configuration settings and associated documentation
information system connection or processing agreements
account management documents
information system audit records, other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibilities for restricting or prohibiting use of non-organizationally owned information systems, system components, or devices
system/network administrators
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms implementing restrictions on the use of non-organizationally owned systems/components/devices
AC-20 (4) NETWORK ACCESSIBLE STORAGE DEVICES
Label: INSERT into ac-20..4.
Parameter: ac-20_prm_3 organization-defined network accessible storage devices
Control
|
The organization prohibits the use of ac-20_prm_3 INSERT into ac-20..4. [NO PARAMETER VALUE GIVEN] in external information systems. |
Supplemental guidance
Network accessible storage devices in external information systems include, for example, online storage devices in public, hybrid, or community cloud-based systems.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Access control policy
procedures addressing use of network accessible storage devices in external information systems
security plan, information system design documentation
information system configuration settings and associated documentation
information system connection or processing agreements
list of network accessible storage devices prohibited from use in external information systems
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibilities for prohibiting use of network accessible storage devices in external information systems
system/network administrators
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms prohibiting the use of network accessible storage devices in external information systems
References
AC-21 INFORMATION SHARING
Label: INSERT into ac-21_smt_a (AC-21a.)
Parameter: ac-21_prm_1 organization-defined information sharing circumstances where user discretion is required
Label: INSERT into ac-21_smt_b (AC-21b.)
Parameter: ac-21_prm_2 organization-defined automated mechanisms or manual processes
Control
|
The organization:
|
Supplemental guidance
This control applies to information that may be restricted in some manner (e.g., privileged medical information, contract-sensitive information, proprietary information, personally identifiable information, classified information related to special access programs or compartments) based on some formal or administrative determination. Depending on the particular information-sharing circumstances, sharing partners may be defined at the individual, group, or organizational level. Information may be defined by content, type, security category, or special access program/compartment.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Access control policy
procedures addressing user-based collaboration and information sharing (including restrictions)
information system design documentation
information system configuration settings and associated documentation
list of users authorized to make information sharing/collaboration decisions
list of information sharing circumstances requiring user discretion
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel responsible for making information sharing/collaboration decisions
system/network administrators
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms or manual process implementing access authorizations supporting information sharing/user collaboration decisions
Control enhancements
AC-21 (1) AUTOMATED DECISION SUPPORT
Control
|
The information system enforces information-sharing decisions by authorized users based on access authorizations of sharing partners and access restrictions on information to be shared. |
Objectives
|
Determine if the information system enforces information-sharing decisions by authorized users based on:
|
Assessment: EXAMINE
Access control policy
procedures addressing user-based collaboration and information sharing (including restrictions)
information system design documentation
information system configuration settings and associated documentation
system-generated list of users authorized to make information sharing/collaboration decisions
system-generated list of sharing partners and access authorizations
system-generated list of access restrictions regarding information to be shared
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developers
Assessment: TEST
Automated mechanisms implementing access authorizations supporting information sharing/user collaboration decisions
AC-21 (2) INFORMATION SEARCH AND RETRIEVAL
Label: INSERT into ac-21..2.
Parameter: ac-21_prm_3 organization-defined information sharing restrictions
Control
|
The information system implements information search and retrieval services that enforce ac-21_prm_3 INSERT into ac-21..2. [NO PARAMETER VALUE GIVEN] . |
Objectives
|
Determine if:
|
Assessment: EXAMINE
Access control policy
procedures addressing user-based collaboration and information sharing (including restrictions)
information system design documentation
information system configuration settings and associated documentation
system-generated list of access restrictions regarding information to be shared
information search and retrieval records
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with access enforcement responsibilities for information system search and retrieval services
system/network administrators
organizational personnel with information security responsibilities
system developers
Assessment: TEST
Information system search and retrieval services enforcing information sharing restrictions
References: None
AC-22 PUBLICLY ACCESSIBLE CONTENT
Label: INSERT into ac-22_smt_d (AC-22d.)
Parameter: ac-22_prm_1 organization-defined frequency
Control
|
The organization:
|
Supplemental guidance
In accordance with federal laws, Executive Orders, directives, policies, regulations, standards, and/or guidance, the general public is not authorized access to nonpublic information (e.g., information protected under the Privacy Act and proprietary information). This control addresses information systems that are controlled by the organization and accessible to the general public, typically without identification or authentication. The posting of information on non-organization information systems is covered by organizational policy.
cf AC-4: INFORMATION FLOW ENFORCEMENT
cf AT-2: SECURITY AWARENESS TRAINING
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Access control policy
procedures addressing publicly accessible content
list of users authorized to post publicly accessible content on organizational information systems
training materials and/or records
records of publicly accessible information reviews
records of response to nonpublic information on public websites
system audit logs
security awareness training records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibilities for managing publicly accessible information posted on organizational information systems
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms implementing management of publicly accessible content
References: None
AC-23 DATA MINING PROTECTION
Label: INSERT into ac-23
Parameter: ac-23_prm_1 organization-defined data mining prevention and detection techniques
Label: INSERT into ac-23
Parameter: ac-23_prm_2 organization-defined data storage objects
Control
|
The organization employs ac-23_prm_1 INSERT into ac-23 [NO PARAMETER VALUE GIVEN] for ac-23_prm_2 INSERT into ac-23 [NO PARAMETER VALUE GIVEN] to adequately detect and protect against data mining. |
Supplemental guidance
Data storage objects include, for example, databases, database records, and database fields. Data mining prevention and detection techniques include, for example: (i) limiting the types of responses provided to database queries; (ii) limiting the number/frequency of database queries to increase the work factor needed to determine the contents of such databases; and (iii) notifying organizational personnel when atypical database queries or accesses occur. This control focuses on the protection of organizational information from data mining while such information resides in organizational data stores. In contrast, AU-13 focuses on monitoring for organizational information that may have been mined or otherwise obtained from data stores and is now available as open source information residing on external sites, for example, through social networking or social media websites.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Access control policy
procedures addressing data mining techniques
procedures addressing protection of data storage objects against data mining
information system design documentation
information system configuration settings and associated documentation
information system audit logs
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibilities for implementing data mining detection and prevention techniques for data storage objects
organizational personnel with information security responsibilities
system developers
Assessment: TEST
Automated mechanisms implementing data mining prevention and detection
References: None
AC-24 ACCESS CONTROL DECISIONS
Label: INSERT into ac-24
Parameter: ac-24_prm_1 organization-defined access control decisions
Control
|
The organization establishes procedures to ensure ac-24_prm_1 INSERT into ac-24 [NO PARAMETER VALUE GIVEN] are applied to each access request prior to access enforcement. |
Supplemental guidance
Access control decisions (also known as authorization decisions) occur when authorization information is applied to specific accesses. In contrast, access enforcement occurs when information systems enforce access control decisions. While it is very common to have access control decisions and access enforcement implemented by the same entity, it is not required and it is not always an optimal implementation choice. For some architectures and distributed information systems, different entities may perform access control decisions and access enforcement.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Access control policy
procedures addressing access control decisions
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibilities for establishing procedures regarding access control decisions to the information system
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms applying established access control decisions and procedures
Control enhancements
AC-24 (1) TRANSMIT ACCESS AUTHORIZATION INFORMATION
Label: INSERT into ac-24..1.
Parameter: ac-24_prm_2 organization-defined access authorization information
Label: INSERT into ac-24..1.
Parameter: ac-24_prm_3 organization-defined security safeguards
Label: INSERT into ac-24..1.
Parameter: ac-24_prm_4 organization-defined information systems
Control
|
The information system transmits ac-24_prm_2 INSERT into ac-24..1. [NO PARAMETER VALUE GIVEN] using ac-24_prm_3 INSERT into ac-24..1. [NO PARAMETER VALUE GIVEN] to ac-24_prm_4 INSERT into ac-24..1. [NO PARAMETER VALUE GIVEN] that enforce access control decisions. |
Supplemental guidance
In distributed information systems, authorization processes and access control decisions may occur in separate parts of the systems. In such instances, authorization information is transmitted securely so timely access control decisions can be enforced at the appropriate locations. To support the access control decisions, it may be necessary to transmit as part of the access authorization information, supporting security attributes. This is due to the fact that in distributed information systems, there are various access control decisions that need to be made and different entities (e.g., services) make these decisions in a serial fashion, each requiring some security attributes to make the decisions. Protecting access authorization information (i.e., access control decisions) ensures that such information cannot be altered, spoofed, or otherwise compromised during transmission.
Objectives
|
Determine if:
|
Assessment: EXAMINE
Access control policy
procedures addressing access enforcement
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with access enforcement responsibilities
system/network administrators
organizational personnel with information security responsibilities
system developers
Assessment: TEST
Automated mechanisms implementing access enforcement functions
AC-24 (2) NO USER OR PROCESS IDENTITY
Label: INSERT into ac-24..2.
Parameter: ac-24_prm_5 organization-defined security attributes
Control
|
The information system enforces access control decisions based on ac-24_prm_5 INSERT into ac-24..2. [NO PARAMETER VALUE GIVEN] that do not include the identity of the user or process acting on behalf of the user. |
Supplemental guidance
In certain situations, it is important that access control decisions can be made without information regarding the identity of the users issuing the requests. These are generally instances where preserving individual privacy is of paramount importance. In other situations, user identification information is simply not needed for access control decisions and, especially in the case of distributed information systems, transmitting such information with the needed degree of assurance may be very expensive or difficult to accomplish.
Objectives
|
Determine if:
|
Assessment: EXAMINE
Access control policy
procedures addressing access enforcement
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with access enforcement responsibilities
system/network administrators
organizational personnel with information security responsibilities
system developers
Assessment: TEST
Automated mechanisms implementing access enforcement functions
References: None
AC-25 REFERENCE MONITOR
Label: INSERT into ac-25
Parameter: ac-25_prm_1 organization-defined access control policies
Control
|
The information system implements a reference monitor for ac-25_prm_1 INSERT into ac-25 [NO PARAMETER VALUE GIVEN] that is tamperproof, always invoked, and small enough to be subject to analysis and testing, the completeness of which can be assured. |
Supplemental guidance
Information is represented internally within information systems using abstractions known as data structures. Internal data structures can represent different types of entities, both active and passive. Active entities, also known as subjects, are typically associated with individuals, devices, or processes acting on behalf of individuals. Passive entities, also known as objects, are typically associated with data structures such as records, buffers, tables, files, inter-process pipes, and communications ports. Reference monitors typically enforce mandatory access control policies—a type of access control that restricts access to objects based on the identity of subjects or groups to which the subjects belong. The access controls are mandatory because subjects with certain privileges (i.e., access permissions) are restricted from passing those privileges on to any other subjects, either directly or indirectly—that is, the information system strictly enforces the access control policy based on the rule set established by the policy. The tamperproof property of the reference monitor prevents adversaries from compromising the functioning of the mechanism. The always invoked property prevents adversaries from bypassing the mechanism and hence violating the security policy. The smallness property helps to ensure the completeness in the analysis and testing of the mechanism to detect weaknesses or deficiencies (i.e., latent flaws) that would prevent the enforcement of the security policy.
Objectives
|
Determine if:
|
Assessment: EXAMINE
Access control policy
procedures addressing access enforcement
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with access enforcement responsibilities
system/network administrators
organizational personnel with information security responsibilities
system developers
Assessment: TEST
Automated mechanisms implementing access enforcement functions
References: None
AWARENESS AND TRAINING
AT-1 SECURITY AWARENESS AND TRAINING POLICY AND PROCEDURES
Label: INSERT into at-1_smt_a (AT-1a.)
Parameter: at-1_prm_1 organization-defined personnel or roles
Label: INSERT into at-1_smt_b.1 (AT-1b.1.)
Parameter: at-1_prm_2 organization-defined frequency
Label: INSERT into at-1_smt_b.2 (AT-1b.2.)
Parameter: at-1_prm_3 organization-defined frequency
Control
|
The organization:
|
Supplemental guidance
This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the AT family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Security awareness and training policy and procedures
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with security awareness and training responsibilities
organizational personnel with information security responsibilities
AT-2 SECURITY AWARENESS TRAINING
Label: INSERT into at-2_smt_c (AT-2c.)
Parameter: at-2_prm_1 organization-defined frequency
Control
|
The organization provides basic security awareness training to information system users (including managers, senior executives, and contractors):
|
Supplemental guidance
Organizations determine the appropriate content of security awareness training and security awareness techniques based on the specific organizational requirements and the information systems to which personnel have authorized access. The content includes a basic understanding of the need for information security and user actions to maintain security and to respond to suspected security incidents. The content also addresses awareness of the need for operations security. Security awareness techniques can include, for example, displaying posters, offering supplies inscribed with security reminders, generating email advisories/notices from senior organizational officials, displaying logon screen messages, and conducting information security awareness events.
cf AT-3: ROLE-BASED SECURITY TRAINING
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Security awareness and training policy
procedures addressing security awareness training implementation
appropriate codes of federal regulations
security awareness training curriculum
security awareness training materials
security plan
training records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibilities for security awareness training
organizational personnel with information security responsibilities
organizational personnel comprising the general information system user community
Assessment: TEST
Automated mechanisms managing security awareness training
Control enhancements
AT-2 (1) PRACTICAL EXERCISES
Control
|
The organization includes practical exercises in security awareness training that simulate actual cyber attacks. |
Supplemental guidance
Practical exercises may include, for example, no-notice social engineering attempts to collect information, gain unauthorized access, or simulate the adverse impact of opening malicious email attachments or invoking, via spear phishing attacks, malicious web links.
cf CA-7: CONTINUOUS MONITORING
Objective
|
Determine if the organization includes practical exercises in security awareness training that simulate actual cyber attacks. |
Assessment: EXAMINE
Security awareness and training policy
procedures addressing security awareness training implementation
security awareness training curriculum
security awareness training materials
security plan
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel that participate in security awareness training
organizational personnel with responsibilities for security awareness training
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms implementing cyber attack simulations in practical exercises
AT-2 (2) INSIDER THREAT
Control
|
The organization includes security awareness training on recognizing and reporting potential indicators of insider threat. |
Supplemental guidance
Potential indicators and possible precursors of insider threat can include behaviors such as inordinate, long-term job dissatisfaction, attempts to gain access to information not required for job performance, unexplained access to financial resources, bullying or sexual harassment of fellow employees, workplace violence, and other serious violations of organizational policies, procedures, directives, rules, or practices. Security awareness training includes how to communicate employee and management concerns regarding potential indicators of insider threat through appropriate organizational channels in accordance with established organizational policies and procedures.
Objective
|
Determine if the organization includes security awareness training on recognizing and reporting potential indicators of insider threat. |
Assessment: EXAMINE
Security awareness and training policy
procedures addressing security awareness training implementation
security awareness training curriculum
security awareness training materials
security plan
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel that participate in security awareness training
organizational personnel with responsibilities for basic security awareness training
organizational personnel with information security responsibilities
AT-3 ROLE-BASED SECURITY TRAINING
Label: INSERT into at-3_smt_c (AT-3c.)
Parameter: at-3_prm_1 organization-defined frequency
Control
|
The organization provides role-based security training to personnel with assigned security roles and responsibilities:
|
Supplemental guidance
Organizations determine the appropriate content of security training based on the assigned roles and responsibilities of individuals and the specific security requirements of organizations and the information systems to which personnel have authorized access. In addition, organizations provide enterprise architects, information system developers, software developers, acquisition/procurement officials, information system managers, system/network administrators, personnel conducting configuration management and auditing activities, personnel performing independent verification and validation activities, security control assessors, and other personnel having access to system-level software, adequate security-related technical training specifically tailored for their assigned duties. Comprehensive role-based training addresses management, operational, and technical roles and responsibilities covering physical, personnel, and technical safeguards and countermeasures. Such training can include for example, policies, procedures, tools, and artifacts for the organizational security roles defined. Organizations also provide the training necessary for individuals to carry out their responsibilities related to operations and supply chain security within the context of organizational information security programs. Role-based security training also applies to contractors providing services to federal agencies.
cf AT-2: SECURITY AWARENESS TRAINING
cf AT-4: SECURITY TRAINING RECORDS
cf PS-7: THIRD-PARTY PERSONNEL SECURITY
cf SA-3: SYSTEM DEVELOPMENT LIFE CYCLE
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Security awareness and training policy
procedures addressing security training implementation
codes of federal regulations
security training curriculum
security training materials
security plan
training records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibilities for role-based security training
organizational personnel with assigned information system security roles and responsibilities
Assessment: TEST
Automated mechanisms managing role-based security training
Control enhancements
AT-3 (1) ENVIRONMENTAL CONTROLS
Label: INSERT into at-3..1.
Parameter: at-3_prm_2 organization-defined personnel or roles
Label: INSERT into at-3..1.
Parameter: at-3_prm_3 organization-defined frequency
Control
|
The organization provides at-3_prm_2 INSERT into at-3..1. [NO PARAMETER VALUE GIVEN] with initial and at-3_prm_3 INSERT into at-3..1. [NO PARAMETER VALUE GIVEN] training in the employment and operation of environmental controls. |
Supplemental guidance
Environmental controls include, for example, fire suppression and detection devices/systems, sprinkler systems, handheld fire extinguishers, fixed fire hoses, smoke detectors, temperature/humidity, HVAC, and power within the facility. Organizations identify personnel with specific roles and responsibilities associated with environmental controls requiring specialized training.
cf PE-1: PHYSICAL AND ENVIRONMENTAL PROTECTION POLICY AND PROCEDURES
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Security awareness and training policy
procedures addressing security training implementation
security training curriculum
security training materials
security plan
training records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibilities for role-based security training
organizational personnel with responsibilities for employing and operating environmental controls
AT-3 (2) PHYSICAL SECURITY CONTROLS
Label: INSERT into at-3..2.
Parameter: at-3_prm_4 organization-defined personnel or roles
Label: INSERT into at-3..2.
Parameter: at-3_prm_5 organization-defined frequency
Control
|
The organization provides at-3_prm_4 INSERT into at-3..2. [NO PARAMETER VALUE GIVEN] with initial and at-3_prm_5 INSERT into at-3..2. [NO PARAMETER VALUE GIVEN] training in the employment and operation of physical security controls. |
Supplemental guidance
Physical security controls include, for example, physical access control devices, physical intrusion alarms, monitoring/surveillance equipment, and security guards (deployment and operating procedures). Organizations identify personnel with specific roles and responsibilities associated with physical security controls requiring specialized training.
cf PE-2: PHYSICAL ACCESS AUTHORIZATIONS
cf PE-3: PHYSICAL ACCESS CONTROL
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Security awareness and training policy
procedures addressing security training implementation
security training curriculum
security training materials
security plan
training records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibilities for role-based security training
organizational personnel with responsibilities for employing and operating physical security controls
AT-3 (3) PRACTICAL EXERCISES
Control
|
The organization includes practical exercises in security training that reinforce training objectives. |
Supplemental guidance
Practical exercises may include, for example, security training for software developers that includes simulated cyber attacks exploiting common software vulnerabilities (e.g., buffer overflows), or spear/whale phishing attacks targeted at senior leaders/executives. These types of practical exercises help developers better understand the effects of such vulnerabilities and appreciate the need for security coding standards and processes.
Objective
|
Determine if the organization includes practical exercises in security training that reinforce training objectives. |
Assessment: EXAMINE
Security awareness and training policy
procedures addressing security awareness training implementation
security awareness training curriculum
security awareness training materials
security plan
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibilities for role-based security training
organizational personnel that participate in security awareness training
AT-3 (4) SUSPICIOUS COMMUNICATIONS AND ANOMALOUS SYSTEM BEHAVIOR
Label: INSERT into at-3..4.
Parameter: at-3_prm_6 organization-defined indicators of malicious code
Control
|
The organization provides training to its personnel on at-3_prm_6 INSERT into at-3..4. [NO PARAMETER VALUE GIVEN] to recognize suspicious communications and anomalous behavior in organizational information systems. |
Supplemental guidance
A well-trained workforce provides another organizational safeguard that can be employed as part of a defense-in-depth strategy to protect organizations against malicious code coming in to organizations via email or the web applications. Personnel are trained to look for indications of potentially suspicious email (e.g., receiving an unexpected email, receiving an email containing strange or poor grammar, or receiving an email from an unfamiliar sender but who appears to be from a known sponsor or contractor). Personnel are also trained on how to respond to such suspicious email or web communications (e.g., not opening attachments, not clicking on embedded web links, and checking the source of email addresses). For this process to work effectively, all organizational personnel are trained and made aware of what constitutes suspicious communications. Training personnel on how to recognize anomalous behaviors in organizational information systems can potentially provide early warning for the presence of malicious code. Recognition of such anomalous behavior by organizational personnel can supplement automated malicious code detection and protection tools and systems employed by organizations.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Security awareness and training policy
procedures addressing security training implementation
security training curriculum
security training materials
security plan
training records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibilities for role-based security training
organizational personnel that participate in security awareness training
AT-4 SECURITY TRAINING RECORDS
Label: INSERT into at-4_smt_b (AT-4b.)
Parameter: at-4_prm_1 organization-defined time period
Control
|
The organization:
|
Supplemental guidance
Documentation for specialized training may be maintained by individual supervisors at the option of the organization.
cf AT-2: SECURITY AWARENESS TRAINING
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Security awareness and training policy
procedures addressing security training records
security awareness and training records
security plan
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with security training record retention responsibilities
Assessment: TEST
Automated mechanisms supporting management of security training records
References: None
AT-5 CONTACTS WITH SECURITY GROUPS AND ASSOCIATIONS
cf PM-15: CONTACTS WITH SECURITY GROUPS AND ASSOCIATIONS
Control
|
Withdrawn: Incorporated into PM-15. |
References: None
AUDIT AND ACCOUNTABILITY
AU-1 AUDIT AND ACCOUNTABILITY POLICY AND PROCEDURES
Label: INSERT into au-1_smt_a (AU-1a.)
Parameter: au-1_prm_1 organization-defined personnel or roles
Label: INSERT into au-1_smt_b.1 (AU-1b.1.)
Parameter: au-1_prm_2 organization-defined frequency
Label: INSERT into au-1_smt_b.2 (AU-1b.2.)
Parameter: au-1_prm_3 organization-defined frequency
Control
|
The organization:
|
Supplemental guidance
This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the AU family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Audit and accountability policy and procedures
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with audit and accountability responsibilities
organizational personnel with information security responsibilities
AU-2 AUDIT EVENTS
Label: INSERT into au-2_smt_a (AU-2a.)
Parameter: au-2_prm_1 organization-defined auditable events
Label: INSERT into au-2_smt_d (AU-2d.)
Parameter: au-2_prm_2 organization-defined audited events (the subset of the auditable events defined in AU-2 a.) along with the frequency of (or situation requiring) auditing for each identified event
Control
|
The organization:
|
Supplemental guidance
An event is any observable occurrence in an organizational information system. Organizations identify audit events as those events which are significant and relevant to the security of information systems and the environments in which those systems operate in order to meet specific and ongoing audit needs. Audit events can include, for example, password changes, failed logons, or failed accesses related to information systems, administrative privilege usage, PIV credential usage, or third-party credential usage. In determining the set of auditable events, organizations consider the auditing appropriate for each of the security controls to be implemented. To balance auditing requirements with other information system needs, this control also requires identifying that subset of auditable events that are audited at a given point in time. For example, organizations may determine that information systems must have the capability to log every file access both successful and unsuccessful, but not activate that capability except for specific circumstances due to the potential burden on system performance. Auditing requirements, including the need for auditable events, may be referenced in other security controls and control enhancements. Organizations also include auditable events that are required by applicable federal laws, Executive Orders, directives, policies, regulations, and standards. Audit records can be generated at various levels of abstraction, including at the packet level as information traverses the network. Selecting the appropriate level of abstraction is a critical aspect of an audit capability and can facilitate the identification of root causes to problems. Organizations consider in the definition of auditable events, the auditing necessary to cover related events such as the steps in distributed, transaction-based processes (e.g., processes that are distributed across multiple organizations) and actions that occur in service-oriented architectures.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Audit and accountability policy
procedures addressing auditable events
security plan
information system design documentation
information system configuration settings and associated documentation
information system audit records
information system auditable events
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with audit and accountability responsibilities
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Automated mechanisms implementing information system auditing
Control enhancements
AU-2 (1) COMPILATION OF AUDIT RECORDS FROM MULTIPLE SOURCES
Control
|
Withdrawn: Incorporated into AU-12. |
AU-2 (2) SELECTION OF AUDIT EVENTS BY COMPONENT
Control
|
Withdrawn: Incorporated into AU-12. |
AU-2 (3) REVIEWS AND UPDATES
Label: INSERT into au-2..3.
Parameter: au-2_prm_3 organization-defined frequency
Control
|
The organization reviews and updates the audited events au-2_prm_3 INSERT into au-2..3. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Over time, the events that organizations believe should be audited may change. Reviewing and updating the set of audited events periodically is necessary to ensure that the current set is still necessary and sufficient.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Audit and accountability policy
procedures addressing auditable events
security plan
list of organization-defined auditable events
auditable events review and update records
information system audit records
information system incident reports
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with audit and accountability responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms supporting review and update of auditable events
AU-2 (4) PRIVILEGED FUNCTIONS
cf AC-6 (9): AUDITING USE OF PRIVILEGED FUNCTIONS
Control
|
Withdrawn: Incorporated into AC-6 (9). |
AU-3 CONTENT OF AUDIT RECORDS
Control
|
The information system generates audit records containing information that establishes what type of event occurred, when the event occurred, where the event occurred, the source of the event, the outcome of the event, and the identity of any individuals or subjects associated with the event. |
Supplemental guidance
Audit record content that may be necessary to satisfy the requirement of this control, includes, for example, time stamps, source and destination addresses, user/process identifiers, event descriptions, success/fail indications, filenames involved, and access control or flow control rules invoked. Event outcomes can include indicators of event success or failure and event-specific results (e.g., the security state of the information system after the event occurred).
Objectives
|
Determine if the information system generates audit records containing information that establishes:
|
Assessment: EXAMINE
Audit and accountability policy
procedures addressing content of audit records
information system design documentation
information system configuration settings and associated documentation
list of organization-defined auditable events
information system audit records
information system incident reports
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with audit and accountability responsibilities
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Automated mechanisms implementing information system auditing of auditable events
Control enhancements
AU-3 (1) ADDITIONAL AUDIT INFORMATION
Label: INSERT into au-3..1.
Parameter: au-3_prm_1 organization-defined additional, more detailed information
Control
|
The information system generates audit records containing the following additional information: au-3_prm_1 INSERT into au-3..1. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Detailed information that organizations may consider in audit records includes, for example, full text recording of privileged commands or the individual identities of group account users. Organizations consider limiting the additional audit information to only that information explicitly needed for specific audit requirements. This facilitates the use of audit trails and audit logs by not including information that could potentially be misleading or could make it more difficult to locate information of interest.
Objectives
|
Determine if:
|
Assessment: EXAMINE
Audit and accountability policy
procedures addressing content of audit records
information system design documentation
information system configuration settings and associated documentation
list of organization-defined auditable events
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with audit and accountability responsibilities
organizational personnel with information security responsibilities
system/network administrators
system developers
Assessment: TEST
Information system audit capability
AU-3 (2) CENTRALIZED MANAGEMENT OF PLANNED AUDIT RECORD CONTENT
Label: INSERT into au-3..2.
Parameter: au-3_prm_2 organization-defined information system components
Control
|
The information system provides centralized management and configuration of the content to be captured in audit records generated by au-3_prm_2 INSERT into au-3..2. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
This control enhancement requires that the content to be captured in audit records be configured from a central location (necessitating automation). Organizations coordinate the selection of required audit content to support the centralized management and configuration capability provided by the information system.
Objectives
|
Determine if:
|
Assessment: EXAMINE
Audit and accountability policy
procedures addressing content of audit records
information system design documentation
information system configuration settings and associated documentation
list of organization-defined auditable events
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with audit and accountability responsibilities
organizational personnel with information security responsibilities
system/network administrators
system developers
Assessment: TEST
Information system capability implementing centralized management and configuration of audit record content
References: None
AU-4 AUDIT STORAGE CAPACITY
Label: INSERT into au-4
Parameter: au-4_prm_1 organization-defined audit record storage requirements
Control
|
The organization allocates audit record storage capacity in accordance with au-4_prm_1 INSERT into au-4 [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Organizations consider the types of auditing to be performed and the audit processing requirements when allocating audit storage capacity. Allocating sufficient audit storage capacity reduces the likelihood of such capacity being exceeded and resulting in the potential loss or reduction of auditing capability.
cf AU-5: RESPONSE TO AUDIT PROCESSING FAILURES
cf AU-6: AUDIT REVIEW, ANALYSIS, AND REPORTING
cf AU-7: AUDIT REDUCTION AND REPORT GENERATION
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Audit and accountability policy
procedures addressing audit storage capacity
information system design documentation
information system configuration settings and associated documentation
audit record storage requirements
audit record storage capability for information system components
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with audit and accountability responsibilities
organizational personnel with information security responsibilities
system/network administrators
system developers
Assessment: TEST
Audit record storage capacity and related configuration settings
Control enhancements
AU-4 (1) TRANSFER TO ALTERNATE STORAGE
Label: INSERT into au-4..1.
Parameter: au-4_prm_2 organization-defined frequency
Control
|
The information system off-loads audit records au-4_prm_2 INSERT into au-4..1. [NO PARAMETER VALUE GIVEN] onto a different system or media than the system being audited. |
Supplemental guidance
Off-loading is a process designed to preserve the confidentiality and integrity of audit records by moving the records from the primary information system to a secondary or alternate system. It is a common process in information systems with limited audit storage capacity; the audit storage is used only in a transitory fashion until the system can communicate with the secondary or alternate system designated for storing the audit records, at which point the information is transferred.
Objectives
|
Determine if:
|
Assessment: EXAMINE
Audit and accountability policy
procedures addressing audit storage capacity
procedures addressing transfer of information system audit records to secondary or alternate systems
information system design documentation
information system configuration settings and associated documentation
logs of audit record transfers to secondary or alternate systems
information system audit records transferred to secondary or alternate systems
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with audit storage capacity planning responsibilities
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Automated mechanisms supporting transfer of audit records onto a different system
References: None
AU-5 RESPONSE TO AUDIT PROCESSING FAILURES
Label: INSERT into au-5_smt_a (AU-5a.)
Parameter: au-5_prm_1 organization-defined personnel or roles
Label: INSERT into au-5_smt_b (AU-5b.)
Parameter: au-5_prm_2 organization-defined actions to be taken (e.g., shut down information system, overwrite oldest audit records, stop generating audit records)
Control
|
The information system:
|
Supplemental guidance
Audit processing failures include, for example, software/hardware errors, failures in the audit capturing mechanisms, and audit storage capacity being reached or exceeded. Organizations may choose to define additional actions for different audit processing failures (e.g., by type, by location, by severity, or a combination of such factors). This control applies to each audit data storage repository (i.e., distinct information system component where audit records are stored), the total audit storage capacity of organizations (i.e., all audit data storage repositories combined), or both.
Objectives
|
Determine if:
|
Assessment: EXAMINE
Audit and accountability policy
procedures addressing response to audit processing failures
information system design documentation
security plan
information system configuration settings and associated documentation
list of personnel to be notified in case of an audit processing failure
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with audit and accountability responsibilities
organizational personnel with information security responsibilities
system/network administrators
system developers
Assessment: TEST
Automated mechanisms implementing information system response to audit processing failures
Control enhancements
AU-5 (1) AUDIT STORAGE CAPACITY
Label: INSERT into au-5..1.
Parameter: au-5_prm_3 organization-defined personnel, roles, and/or locations
Label: INSERT into au-5..1.
Parameter: au-5_prm_4 organization-defined time period
Label: INSERT into au-5..1.
Parameter: au-5_prm_5 organization-defined percentage
Control
|
The information system provides a warning to au-5_prm_3 INSERT into au-5..1. [NO PARAMETER VALUE GIVEN] within au-5_prm_4 INSERT into au-5..1. [NO PARAMETER VALUE GIVEN] when allocated audit record storage volume reaches au-5_prm_5 INSERT into au-5..1. [NO PARAMETER VALUE GIVEN] of repository maximum audit record storage capacity. |
Supplemental guidance
Organizations may have multiple audit data storage repositories distributed across multiple information system components, with each repository having different storage volume capacities.
Objectives
|
Determine if:
|
Assessment: EXAMINE
Audit and accountability policy
procedures addressing response to audit processing failures
information system design documentation
security plan
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with audit and accountability responsibilities
organizational personnel with information security responsibilities
system/network administrators
system developers
Assessment: TEST
Automated mechanisms implementing audit storage limit warnings
AU-5 (2) REAL-TIME ALERTS
Label: INSERT into au-5..2.
Parameter: au-5_prm_6 organization-defined real-time period
Label: INSERT into au-5..2.
Parameter: au-5_prm_7 organization-defined personnel, roles, and/or locations
Label: INSERT into au-5..2.
Parameter: au-5_prm_8 organization-defined audit failure events requiring real-time alerts
Control
|
The information system provides an alert in au-5_prm_6 INSERT into au-5..2. [NO PARAMETER VALUE GIVEN] to au-5_prm_7 INSERT into au-5..2. [NO PARAMETER VALUE GIVEN] when the following audit failure events occur: au-5_prm_8 INSERT into au-5..2. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Alerts provide organizations with urgent messages. Real-time alerts provide these messages at information technology speed (i.e., the time from event detection to alert occurs in seconds or less).
Objectives
|
Determine if:
|
Assessment: EXAMINE
Audit and accountability policy
procedures addressing response to audit processing failures
information system design documentation
security plan
information system configuration settings and associated documentation
records of notifications or real-time alerts when audit processing failures occur
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with audit and accountability responsibilities
organizational personnel with information security responsibilities
system/network administrators
system developers
Assessment: TEST
Automated mechanisms implementing real-time audit alerts when organization-defined audit failure events occur
AU-5 (3) CONFIGURABLE TRAFFIC VOLUME THRESHOLDS
Label: SELECT for { ancestor-or-self::*[@id][1]/@id }
rejects
delays
Control
|
The information system enforces configurable network communications traffic volume thresholds reflecting limits on auditing capacity and au-5_prm_9 SELECT for { ancestor-or-self::*[@id][1]/@id } rejects delays [NO PARAMETER VALUE GIVEN] network traffic above those thresholds. |
Supplemental guidance
Organizations have the capability to reject or delay the processing of network communications traffic if auditing such traffic is determined to exceed the storage capacity of the information system audit function. The rejection or delay response is triggered by the established organizational traffic volume thresholds which can be adjusted based on changes to audit storage capacity.
Objectives
|
Determine if:
|
Assessment: EXAMINE
Audit and accountability policy
procedures addressing response to audit processing failures
information system design documentation
security plan
information system configuration settings and associated documentation
configuration of network communications traffic volume thresholds
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with audit and accountability responsibilities
organizational personnel with information security responsibilities
system/network administrators
system developers
Assessment: TEST
Information system capability implementing configurable traffic volume thresholds
AU-5 (4) SHUTDOWN ON FAILURE
Label: SELECT for { ancestor-or-self::*[@id][1]/@id }
full system shutdown
partial system shutdown
degraded operational mode with limited mission/business functionality available
Label: INSERT into au-5..4.
Parameter: au-5_prm_11 organization-defined audit failures
Control
|
The information system invokes a au-5_prm_10 SELECT for { ancestor-or-self::*[@id][1]/@id } full system shutdown partial system shutdown degraded operational mode with limited mission/business functionality available [NO PARAMETER VALUE GIVEN] in the event of au-5_prm_11 INSERT into au-5..4. [NO PARAMETER VALUE GIVEN] , unless an alternate audit capability exists. |
Supplemental guidance
Organizations determine the types of audit failures that can trigger automatic information system shutdowns or degraded operations. Because of the importance of ensuring mission/business continuity, organizations may determine that the nature of the audit failure is not so severe that it warrants a complete shutdown of the information system supporting the core organizational missions/business operations. In those instances, partial information system shutdowns or operating in a degraded mode with reduced capability may be viable alternatives.
Objectives
|
Determine if:
|
Assessment: EXAMINE
Audit and accountability policy
procedures addressing response to audit processing failures
information system design documentation
security plan
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with audit and accountability responsibilities
organizational personnel with information security responsibilities
system/network administrators
system developers
Assessment: TEST
Information system capability invoking system shutdown or degraded operational mode in the event of an audit processing failure
References: None
AU-6 AUDIT REVIEW, ANALYSIS, AND REPORTING
Label: INSERT into au-6_smt_a (AU-6a.)
Parameter: au-6_prm_1 organization-defined frequency
Label: INSERT into au-6_smt_a (AU-6a.)
Parameter: au-6_prm_2 organization-defined inappropriate or unusual activity
Label: INSERT into au-6_smt_b (AU-6b.)
Parameter: au-6_prm_3 organization-defined personnel or roles
Control
|
The organization:
|
Supplemental guidance
Audit review, analysis, and reporting covers information security-related auditing performed by organizations including, for example, auditing that results from monitoring of account usage, remote access, wireless connectivity, mobile device connection, configuration settings, system component inventory, use of maintenance tools and nonlocal maintenance, physical access, temperature and humidity, equipment delivery and removal, communications at the information system boundaries, use of mobile code, and use of VoIP. Findings can be reported to organizational entities that include, for example, incident response team, help desk, information security group/department. If organizations are prohibited from reviewing and analyzing audit information or unable to conduct such activities (e.g., in certain national security applications or systems), the review/analysis may be carried out by other organizations granted such authority.
cf AT-3: ROLE-BASED SECURITY TRAINING
cf AU-7: AUDIT REDUCTION AND REPORT GENERATION
cf AU-16: CROSS-ORGANIZATIONAL AUDITING
cf CA-7: CONTINUOUS MONITORING
cf CM-5: ACCESS RESTRICTIONS FOR CHANGE
cf CM-10: SOFTWARE USAGE RESTRICTIONS
cf CM-11: USER-INSTALLED SOFTWARE
cf IA-3: DEVICE IDENTIFICATION AND AUTHENTICATION
cf IA-5: AUTHENTICATOR MANAGEMENT
cf PE-3: PHYSICAL ACCESS CONTROL
cf PE-6: MONITORING PHYSICAL ACCESS
cf PE-14: TEMPERATURE AND HUMIDITY CONTROLS
cf PE-16: DELIVERY AND REMOVAL
cf RA-5: VULNERABILITY SCANNING
cf SC-19: VOICE OVER INTERNET PROTOCOL
cf SI-3: MALICIOUS CODE PROTECTION
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Audit and accountability policy
procedures addressing audit review, analysis, and reporting
reports of audit findings
records of actions taken in response to reviews/analyses of audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with audit review, analysis, and reporting responsibilities
organizational personnel with information security responsibilities
Control enhancements
AU-6 (1) PROCESS INTEGRATION
Control
|
The organization employs automated mechanisms to integrate audit review, analysis, and reporting processes to support organizational processes for investigation and response to suspicious activities. |
Supplemental guidance
Organizational processes benefiting from integrated audit review, analysis, and reporting include, for example, incident response, continuous monitoring, contingency planning, and Inspector General audits.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Audit and accountability policy
procedures addressing audit review, analysis, and reporting
procedures addressing investigation and response to suspicious activities
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with audit review, analysis, and reporting responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms integrating audit review, analysis, and reporting processes
AU-6 (2) AUTOMATED SECURITY ALERTS
cf SI-4: INFORMATION SYSTEM MONITORING
Control
|
Withdrawn: Incorporated into SI-4. |
AU-6 (3) CORRELATE AUDIT REPOSITORIES
Control
|
The organization analyzes and correlates audit records across different repositories to gain organization-wide situational awareness. |
Supplemental guidance
Organization-wide situational awareness includes awareness across all three tiers of risk management (i.e., organizational, mission/business process, and information system) and supports cross-organization awareness.
Objective
|
Determine if the organization analyzes and correlates audit records across different repositories to gain organization-wide situational awareness. |
Assessment: EXAMINE
Audit and accountability policy
procedures addressing audit review, analysis, and reporting
information system design documentation
information system configuration settings and associated documentation
information system audit records across different repositories
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with audit review, analysis, and reporting responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms supporting analysis and correlation of audit records
AU-6 (4) CENTRAL REVIEW AND ANALYSIS
Control
|
The information system provides the capability to centrally review and analyze audit records from multiple components within the system. |
Supplemental guidance
Automated mechanisms for centralized reviews and analyses include, for example, Security Information Management products.
Objective
|
Determine if the information system provides the capability to centrally review and analyze audit records from multiple components within the system. |
Assessment: EXAMINE
Audit and accountability policy
procedures addressing audit review, analysis, and reporting
information system design documentation
information system configuration settings and associated documentation
security plan
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with audit review, analysis, and reporting responsibilities
organizational personnel with information security responsibilities
system developers
Assessment: TEST
Information system capability to centralize review and analysis of audit records
AU-6 (5) INTEGRATION / SCANNING AND MONITORING CAPABILITIES
Label: SELECT for { ancestor-or-self::*[@id][1]/@id }
vulnerability scanning information
performance data
information system monitoring information
au-6_prm_5 INSERT into au-6..5. [NO PARAMETER VALUE GIVEN]
Label: INSERT into au-6..5.
Parameter: au-6_prm_5 organization-defined data/information collected from other sources
Control
|
The organization integrates analysis of audit records with analysis of au-6_prm_4 SELECT for { ancestor-or-self::*[@id][1]/@id } vulnerability scanning information performance data information system monitoring information [NO PARAMETER VALUE GIVEN] to further enhance the ability to identify inappropriate or unusual activity. |
Supplemental guidance
This control enhancement does not require vulnerability scanning, the generation of performance data, or information system monitoring. Rather, the enhancement requires that the analysis of information being otherwise produced in these areas is integrated with the analysis of audit information. Security Event and Information Management System tools can facilitate audit record aggregation/consolidation from multiple information system components as well as audit record correlation and analysis. The use of standardized audit record analysis scripts developed by organizations (with localized script adjustments, as necessary) provides more cost-effective approaches for analyzing audit record information collected. The correlation of audit record information with vulnerability scanning information is important in determining the veracity of vulnerability scans and correlating attack detection events with scanning results. Correlation with performance data can help uncover denial of service attacks or cyber attacks resulting in unauthorized use of resources. Correlation with system monitoring information can assist in uncovering attacks and in better relating audit information to operational situations.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Audit and accountability policy
procedures addressing audit review, analysis, and reporting
information system design documentation
information system configuration settings and associated documentation
integrated analysis of audit records, vulnerability scanning information, performance data, network monitoring information and associated documentation
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with audit review, analysis, and reporting responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms implementing capability to integrate analysis of audit records with analysis of data/information sources
AU-6 (6) CORRELATION WITH PHYSICAL MONITORING
Control
|
The organization correlates information from audit records with information obtained from monitoring physical access to further enhance the ability to identify suspicious, inappropriate, unusual, or malevolent activity. |
Supplemental guidance
The correlation of physical audit information and audit logs from information systems may assist organizations in identifying examples of suspicious behavior or supporting evidence of such behavior. For example, the correlation of an individual’s identity for logical access to certain information systems with the additional physical security information that the individual was actually present at the facility when the logical access occurred, may prove to be useful in investigations.
Objective
|
Determine if the organization correlates information from audit records with information obtained from monitoring physical access to enhance the ability to identify suspicious, inappropriate, unusual, or malevolent activity. |
Assessment: EXAMINE
Audit and accountability policy
procedures addressing audit review, analysis, and reporting
procedures addressing physical access monitoring
information system design documentation
information system configuration settings and associated documentation
documentation providing evidence of correlated information obtained from audit records and physical access monitoring records
security plan
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with audit review, analysis, and reporting responsibilities
organizational personnel with physical access monitoring responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms implementing capability to correlate information from audit records with information from monitoring physical access
AU-6 (7) PERMITTED ACTIONS
Label: SELECT for { ancestor-or-self::*[@id][1]/@id }
information system process
role
user
Control
|
The organization specifies the permitted actions for each au-6_prm_6 SELECT for { ancestor-or-self::*[@id][1]/@id } information system process role user [NO PARAMETER VALUE GIVEN] associated with the review, analysis, and reporting of audit information. |
Supplemental guidance
Organizations specify permitted actions for information system processes, roles, and/or users associated with the review, analysis, and reporting of audit records through account management techniques. Specifying permitted actions on audit information is a way to enforce the principle of least privilege. Permitted actions are enforced by the information system and include, for example, read, write, execute, append, and delete.
Objectives
|
Determine if the organization specifies the permitted actions for each one or more of the following associated with the review, analysis and reporting of audit information:
|
Assessment: EXAMINE
Audit and accountability policy
procedures addressing process, role and/or user permitted actions from audit review, analysis, and reporting
security plan
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with audit review, analysis, and reporting responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms supporting permitted actions for review, analysis, and reporting of audit information
AU-6 (8) FULL TEXT ANALYSIS OF PRIVILEGED COMMANDS
Control
|
The organization performs a full text analysis of audited privileged commands in a physically distinct component or subsystem of the information system, or other information system that is dedicated to that analysis. |
Supplemental guidance
This control enhancement requires a distinct environment for the dedicated analysis of audit information related to privileged users without compromising such information on the information system where the users have elevated privileges including the capability to execute privileged commands. Full text analysis refers to analysis that considers the full text of privileged commands (i.e., commands and all parameters) as opposed to analysis that considers only the name of the command. Full text analysis includes, for example, the use of pattern matching and heuristics.
cf AU-3: CONTENT OF AUDIT RECORDS
cf AU-9: PROTECTION OF AUDIT INFORMATION
Objectives
|
Determine if the organization performs a full text analysis of audited privileged commands in:
|
Assessment: EXAMINE
Audit and accountability policy
procedures addressing audit review, analysis, and reporting
information system design documentation
information system configuration settings and associated documentation
text analysis tools and techniques
text analysis documentation of audited privileged commands
security plan
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with audit review, analysis, and reporting responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms implementing capability to perform a full text analysis of audited privilege commands
AU-6 (9) CORRELATION WITH INFORMATION FROM NONTECHNICAL SOURCES
Control
|
The organization correlates information from nontechnical sources with audit information to enhance organization-wide situational awareness. |
Supplemental guidance
Nontechnical sources include, for example, human resources records documenting organizational policy violations (e.g., sexual harassment incidents, improper use of organizational information assets). Such information can lead organizations to a more directed analytical effort to detect potential malicious insider activity. Due to the sensitive nature of the information available from nontechnical sources, organizations limit access to such information to minimize the potential for the inadvertent release of privacy-related information to individuals that do not have a need to know. Thus, correlation of information from nontechnical sources with audit information generally occurs only when individuals are suspected of being involved in a security incident. Organizations obtain legal advice prior to initiating such actions.
Objective
|
Determine if the organization correlates information from nontechnical sources with audit information to enhance organization-wide situational awareness. |
Assessment: EXAMINE
Audit and accountability policy
procedures addressing audit review, analysis, and reporting
information system design documentation
information system configuration settings and associated documentation
documentation providing evidence of correlated information obtained from audit records and organization-defined nontechnical sources
list of information types from nontechnical sources for correlation with audit information
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with audit review, analysis, and reporting responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms implementing capability to correlate information from non-technical sources
AU-6 (10) AUDIT LEVEL ADJUSTMENT
Control
|
The organization adjusts the level of audit review, analysis, and reporting within the information system when there is a change in risk based on law enforcement information, intelligence information, or other credible sources of information. |
Supplemental guidance
The frequency, scope, and/or depth of the audit review, analysis, and reporting may be adjusted to meet organizational needs based on new information received.
Objectives
|
Determine if the organization adjusts the level of audit review, analysis, and reporting within the information system when there is a change in risk based on:
|
Assessment: EXAMINE
Audit and accountability policy
procedures addressing audit review, analysis, and reporting
organizational risk assessment
security control assessment
vulnerability assessment
security plan
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with audit review, analysis, and reporting responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms supporting review, analysis, and reporting of audit information
References: None
AU-7 AUDIT REDUCTION AND REPORT GENERATION
Control
|
The information system provides an audit reduction and report generation capability that:
|
Supplemental guidance
Audit reduction is a process that manipulates collected audit information and organizes such information in a summary format that is more meaningful to analysts. Audit reduction and report generation capabilities do not always emanate from the same information system or from the same organizational entities conducting auditing activities. Audit reduction capability can include, for example, modern data mining techniques with advanced data filters to identify anomalous behavior in audit records. The report generation capability provided by the information system can generate customizable reports. Time ordering of audit records can be a significant issue if the granularity of the timestamp in the record is insufficient.
Objectives
|
Determine if the information system provides an audit reduction and report generation capability that supports:
|
Assessment: EXAMINE
Audit and accountability policy
procedures addressing audit reduction and report generation
information system design documentation
information system configuration settings and associated documentation
audit reduction, review, analysis, and reporting tools
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with audit reduction and report generation responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Audit reduction and report generation capability
Control enhancements
AU-7 (1) AUTOMATIC PROCESSING
Label: INSERT into au-7..1.
Parameter: au-7_prm_1 organization-defined audit fields within audit records
Control
|
The information system provides the capability to process audit records for events of interest based on au-7_prm_1 INSERT into au-7..1. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Events of interest can be identified by the content of specific audit record fields including, for example, identities of individuals, event types, event locations, event times, event dates, system resources involved, IP addresses involved, or information objects accessed. Organizations may define audit event criteria to any degree of granularity required, for example, locations selectable by general networking location (e.g., by network or subnetwork) or selectable by specific information system component.
Objectives
|
Determine if:
|
Assessment: EXAMINE
Audit and accountability policy
procedures addressing audit reduction and report generation
information system design documentation
information system configuration settings and associated documentation
audit reduction, review, analysis, and reporting tools
audit record criteria (fields) establishing events of interest
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with audit reduction and report generation responsibilities
organizational personnel with information security responsibilities
system developers
Assessment: TEST
Audit reduction and report generation capability
AU-7 (2) AUTOMATIC SORT AND SEARCH
Label: INSERT into au-7..2.
Parameter: au-7_prm_2 organization-defined audit fields within audit records
Control
|
The information system provides the capability to sort and search audit records for events of interest based on the content of au-7_prm_2 INSERT into au-7..2. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Sorting and searching of audit records may be based upon the contents of audit record fields, for example: (i) date/time of events; (ii) user identifiers; (iii) Internet Protocol (IP) addresses involved in the event; (iv) type of event; or (v) event success/failure.
Objectives
|
Determine if:
|
Assessment: EXAMINE
Audit and accountability policy
procedures addressing audit reduction and report generation
information system design documentation
information system configuration settings and associated documentation
audit reduction, review, analysis, and reporting tools
audit record criteria (fields) establishing events of interest
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with audit reduction and report generation responsibilities
organizational personnel with information security responsibilities
system developers
Assessment: TEST
Audit reduction and report generation capability
References: None
AU-8 TIME STAMPS
Label: INSERT into au-8_smt_b (AU-8b.)
Parameter: au-8_prm_1 organization-defined granularity of time measurement
Control
|
The information system:
|
Supplemental guidance
Time stamps generated by the information system include date and time. Time is commonly expressed in Coordinated Universal Time (UTC), a modern continuation of Greenwich Mean Time (GMT), or local time with an offset from UTC. Granularity of time measurements refers to the degree of synchronization between information system clocks and reference clocks, for example, clocks synchronizing within hundreds of milliseconds or within tens of milliseconds. Organizations may define different time granularities for different system components. Time service can also be critical to other security capabilities such as access control and identification and authentication, depending on the nature of the mechanisms used to support those capabilities.
Objectives
|
Determine if:
|
Assessment: EXAMINE
Audit and accountability policy
procedures addressing time stamp generation
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information security responsibilities
system/network administrators
system developers
Assessment: TEST
Automated mechanisms implementing time stamp generation
Control enhancements
AU-8 (1) SYNCHRONIZATION WITH AUTHORITATIVE TIME SOURCE
Label: INSERT into au-8..1._smt_a (AU-8 (1)(a))
Parameter: au-8_prm_2 organization-defined frequency
Label: INSERT into au-8..1._smt_a (AU-8 (1)(a))
Parameter: au-8_prm_3 organization-defined authoritative time source
Label: INSERT into au-8..1._smt_b (AU-8 (1)(b))
Parameter: au-8_prm_4 organization-defined time period
Control
|
The information system:
|
Supplemental guidance
This control enhancement provides uniformity of time stamps for information systems with multiple system clocks and systems connected over a network.
Objectives
|
Determine if:
|
Assessment: EXAMINE
Audit and accountability policy
procedures addressing time stamp generation
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information security responsibilities
system/network administrators
system developers
Assessment: TEST
Automated mechanisms implementing internal information system clock synchronization
AU-8 (2) SECONDARY AUTHORITATIVE TIME SOURCE
Control
|
The information system identifies a secondary authoritative time source that is located in a different geographic region than the primary authoritative time source. |
Objective
|
Determine if the information system identifies a secondary authoritative time source that is located in a different geographic region than the primary authoritative time source. |
Assessment: EXAMINE
Audit and accountability policy
procedures addressing time stamp generation
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information security responsibilities
system/network administrators
system developers
Assessment: TEST
Automated mechanisms implementing internal information system clock authoritative time sources
References: None
AU-9 PROTECTION OF AUDIT INFORMATION
Control
|
The information system protects audit information and audit tools from unauthorized access, modification, and deletion. |
Supplemental guidance
Audit information includes all information (e.g., audit records, audit settings, and audit reports) needed to successfully audit information system activity. This control focuses on technical protection of audit information. Physical protection of audit information is addressed by media protection controls and physical and environmental protection controls.
cf PE-2: PHYSICAL ACCESS AUTHORIZATIONS
Objectives
|
Determine if:
|
Assessment: EXAMINE
Audit and accountability policy
access control policy and procedures
procedures addressing protection of audit information
information system design documentation
information system configuration settings and associated documentation, information system audit records
audit tools
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with audit and accountability responsibilities
organizational personnel with information security responsibilities
system/network administrators
system developers
Assessment: TEST
Automated mechanisms implementing audit information protection
Control enhancements
AU-9 (1) HARDWARE WRITE-ONCE MEDIA
Control
|
The information system writes audit trails to hardware-enforced, write-once media. |
Supplemental guidance
This control enhancement applies to the initial generation of audit trails (i.e., the collection of audit records that represents the audit information to be used for detection, analysis, and reporting purposes) and to the backup of those audit trails. The enhancement does not apply to the initial generation of audit records prior to being written to an audit trail. Write-once, read-many (WORM) media includes, for example, Compact Disk-Recordable (CD-R) and Digital Video Disk-Recordable (DVD-R). In contrast, the use of switchable write-protection media such as on tape cartridges or Universal Serial Bus (USB) drives results in write-protected, but not write-once, media.
Objective
|
Determine if the information system writes audit trails to hardware-enforced, write-once media. |
Assessment: EXAMINE
Audit and accountability policy
access control policy and procedures
procedures addressing protection of audit information
information system design documentation
information system hardware settings
information system configuration settings and associated documentation
information system storage media
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with audit and accountability responsibilities
organizational personnel with information security responsibilities
system/network administrators
system developers
Assessment: TEST
Information system media storing audit trails
AU-9 (2) AUDIT BACKUP ON SEPARATE PHYSICAL SYSTEMS / COMPONENTS
Label: INSERT into au-9..2.
Parameter: au-9_prm_1 organization-defined frequency
Control
|
The information system backs up audit records au-9_prm_1 INSERT into au-9..2. [NO PARAMETER VALUE GIVEN] onto a physically different system or system component than the system or component being audited. |
Supplemental guidance
This control enhancement helps to ensure that a compromise of the information system being audited does not also result in a compromise of the audit records.
cf AU-4: AUDIT STORAGE CAPACITY
Objectives
|
Determine if:
|
Assessment: EXAMINE
Audit and accountability policy
procedures addressing protection of audit information
information system design documentation
information system configuration settings and associated documentation, system or media storing backups of information system audit records
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with audit and accountability responsibilities
organizational personnel with information security responsibilities
system/network administrators
system developers
Assessment: TEST
Automated mechanisms implementing the backing up of audit records
AU-9 (3) CRYPTOGRAPHIC PROTECTION
Control
|
The information system implements cryptographic mechanisms to protect the integrity of audit information and audit tools. |
Supplemental guidance
Cryptographic mechanisms used for protecting the integrity of audit information include, for example, signed hash functions using asymmetric cryptography enabling distribution of the public key to verify the hash information while maintaining the confidentiality of the secret key used to generate the hash.
Objectives
|
Determine if the information system:
|
Assessment: EXAMINE
Audit and accountability policy
access control policy and procedures
procedures addressing protection of audit information
information system design documentation
information system hardware settings
information system configuration settings and associated documentation, information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with audit and accountability responsibilities
organizational personnel with information security responsibilities
system/network administrators
system developers
Assessment: TEST
Cryptographic mechanisms protecting integrity of audit information and tools
AU-9 (4) ACCESS BY SUBSET OF PRIVILEGED USERS
Label: INSERT into au-9..4.
Parameter: au-9_prm_2 organization-defined subset of privileged users
Control
|
The organization authorizes access to management of audit functionality to only au-9_prm_2 INSERT into au-9..4. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Individuals with privileged access to an information system and who are also the subject of an audit by that system, may affect the reliability of audit information by inhibiting audit activities or modifying audit records. This control enhancement requires that privileged access be further defined between audit-related privileges and other privileges, thus limiting the users with audit-related privileges.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Audit and accountability policy
access control policy and procedures
procedures addressing protection of audit information
information system design documentation
information system configuration settings and associated documentation, system-generated list of privileged users with access to management of audit functionality
access authorizations
access control list
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with audit and accountability responsibilities
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Automated mechanisms managing access to audit functionality
AU-9 (5) DUAL AUTHORIZATION
Label: SELECT for { ancestor-or-self::*[@id][1]/@id }
movement
deletion
Label: INSERT into au-9..5.
Parameter: au-9_prm_4 organization-defined audit information
Control
|
The organization enforces dual authorization for au-9_prm_3 SELECT for { ancestor-or-self::*[@id][1]/@id } movement deletion [NO PARAMETER VALUE GIVEN] of au-9_prm_4 INSERT into au-9..5. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Organizations may choose different selection options for different types of audit information. Dual authorization mechanisms require the approval of two authorized individuals in order to execute. Dual authorization may also be known as two-person control.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Audit and accountability policy
access control policy and procedures
procedures addressing protection of audit information
information system design documentation
information system configuration settings and associated documentation, access authorizations
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with audit and accountability responsibilities
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Automated mechanisms implementing enforcement of dual authorization
AU-9 (6) READ ONLY ACCESS
Label: INSERT into au-9..6.
Parameter: au-9_prm_5 organization-defined subset of privileged users
Control
|
The organization authorizes read-only access to audit information to au-9_prm_5 INSERT into au-9..6. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Restricting privileged user authorizations to read-only helps to limit the potential damage to organizations that could be initiated by such users (e.g., deleting audit records to cover up malicious activity).
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Audit and accountability policy
access control policy and procedures
procedures addressing protection of audit information
information system design documentation
information system configuration settings and associated documentation, system-generated list of privileged users with read-only access to audit information
access authorizations
access control list
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with audit and accountability responsibilities
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Automated mechanisms managing access to audit information
References: None
AU-10 NON-REPUDIATION
Label: INSERT into au-10
Parameter: au-10_prm_1 organization-defined actions to be covered by non-repudiation
Control
|
The information system protects against an individual (or process acting on behalf of an individual) falsely denying having performed au-10_prm_1 INSERT into au-10 [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Types of individual actions covered by non-repudiation include, for example, creating information, sending and receiving messages, approving information (e.g., indicating concurrence or signing a contract). Non-repudiation protects individuals against later claims by: (i) authors of not having authored particular documents; (ii) senders of not having transmitted messages; (iii) receivers of not having received messages; or (iv) signatories of not having signed documents. Non-repudiation services can be used to determine if information originated from a particular individual, or if an individual took specific actions (e.g., sending an email, signing a contract, approving a procurement request) or received specific information. Organizations obtain non-repudiation services by employing various techniques or mechanisms (e.g., digital signatures, digital message receipts).
cf SC-12: CRYPTOGRAPHIC KEY ESTABLISHMENT AND MANAGEMENT
cf SC-8: TRANSMISSION CONFIDENTIALITY AND INTEGRITY
cf SC-13: CRYPTOGRAPHIC PROTECTION
cf SC-16: TRANSMISSION OF SECURITY ATTRIBUTES
Objectives
|
Determine if:
|
Assessment: EXAMINE
Audit and accountability policy
procedures addressing non-repudiation
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information security responsibilities
system/network administrators
system developers
Assessment: TEST
Automated mechanisms implementing non-repudiation capability
Control enhancements
AU-10 (1) ASSOCIATION OF IDENTITIES
Label: INSERT into au-10..1._smt_a (AU-10 (1)(a))
Parameter: au-10_prm_2 organization-defined strength of binding
Control
|
The information system:
|
Supplemental guidance
This control enhancement supports audit requirements that provide organizational personnel with the means to identify who produced specific information in the event of an information transfer. Organizations determine and approve the strength of the binding between the information producer and the information based on the security category of the information and relevant risk factors.
Objectives
|
Determine if:
|
Assessment: EXAMINE
Audit and accountability policy
procedures addressing non-repudiation
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information security responsibilities
system/network administrators
system developers
Assessment: TEST
Automated mechanisms implementing non-repudiation capability
AU-10 (2) VALIDATE BINDING OF INFORMATION PRODUCER IDENTITY
Label: INSERT into au-10..2._smt_a (AU-10 (2)(a))
Parameter: au-10_prm_3 organization-defined frequency
Label: INSERT into au-10..2._smt_b (AU-10 (2)(b))
Parameter: au-10_prm_4 organization-defined actions
Control
|
The information system:
|
Supplemental guidance
This control enhancement prevents the modification of information between production and review. The validation of bindings can be achieved, for example, by the use of cryptographic checksums. Organizations determine if validations are in response to user requests or generated automatically.
Objectives
|
Determine if:
|
Assessment: EXAMINE
Audit and accountability policy
procedures addressing non-repudiation
information system design documentation
information system configuration settings and associated documentation
validation records
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information security responsibilities
system/network administrators
system developers
Assessment: TEST
Automated mechanisms implementing non-repudiation capability
AU-10 (3) CHAIN OF CUSTODY
Control
|
The information system maintains reviewer/releaser identity and credentials within the established chain of custody for all information reviewed or released. |
Supplemental guidance
Chain of custody is a process that tracks the movement of evidence through its collection, safeguarding, and analysis life cycle by documenting each person who handled the evidence, the date and time it was collected or transferred, and the purpose for the transfer. If the reviewer is a human or if the review function is automated but separate from the release/transfer function, the information system associates the identity of the reviewer of the information to be released with the information and the information label. In the case of human reviews, this control enhancement provides organizational officials the means to identify who reviewed and released the information. In the case of automated reviews, this control enhancement ensures that only approved review functions are employed.
Objectives
|
Determine if the information system:
|
Assessment: EXAMINE
Audit and accountability policy
procedures addressing non-repudiation
information system design documentation
information system configuration settings and associated documentation
records of information reviews and releases
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information security responsibilities
system/network administrators
system developers
Assessment: TEST
Automated mechanisms implementing non-repudiation capability
AU-10 (4) VALIDATE BINDING OF INFORMATION REVIEWER IDENTITY
Label: INSERT into au-10..4._smt_a (AU-10 (4)(a))
Parameter: au-10_prm_5 organization-defined security domains
Label: INSERT into au-10..4._smt_b (AU-10 (4)(b))
Parameter: au-10_prm_6 organization-defined actions
Control
|
The information system:
|
Supplemental guidance
This control enhancement prevents the modification of information between review and transfer/release. The validation of bindings can be achieved, for example, by the use of cryptographic checksums. Organizations determine validations are in response to user requests or generated automatically.
Objectives
|
Determine if:
|
Assessment: EXAMINE
Audit and accountability policy
procedures addressing non-repudiation
information system design documentation
information system configuration settings and associated documentation
validation records
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information security responsibilities
system/network administrators
system developers
Assessment: TEST
Automated mechanisms implementing non-repudiation capability
AU-10 (5) DIGITAL SIGNATURES
cf SI-7: SOFTWARE, FIRMWARE, AND INFORMATION INTEGRITY
Control
|
Withdrawn: Incorporated into SI-7. |
References: None
AU-11 AUDIT RECORD RETENTION
Label: INSERT into au-11
Parameter: au-11_prm_1 organization-defined time period consistent with records retention policy
Control
|
The organization retains audit records for au-11_prm_1 INSERT into au-11 [NO PARAMETER VALUE GIVEN] to provide support for after-the-fact investigations of security incidents and to meet regulatory and organizational information retention requirements. |
Supplemental guidance
Organizations retain audit records until it is determined that they are no longer needed for administrative, legal, audit, or other operational purposes. This includes, for example, retention and availability of audit records relative to Freedom of Information Act (FOIA) requests, subpoenas, and law enforcement actions. Organizations develop standard categories of audit records relative to such types of actions and standard response processes for each type of action. The National Archives and Records Administration (NARA) General Records Schedules provide federal policy on record retention.
cf AU-4: AUDIT STORAGE CAPACITY
cf AU-5: RESPONSE TO AUDIT PROCESSING FAILURES
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Audit and accountability policy
audit record retention policy and procedures
security plan
organization-defined retention period for audit records
audit record archives
audit logs
audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with audit record retention responsibilities
organizational personnel with information security responsibilities
system/network administrators
Control enhancements
AU-11 (1) LONG-TERM RETRIEVAL CAPABILITY
Label: INSERT into au-11..1.
Parameter: au-11_prm_2 organization-defined measures
Control
|
The organization employs au-11_prm_2 INSERT into au-11..1. [NO PARAMETER VALUE GIVEN] to ensure that long-term audit records generated by the information system can be retrieved. |
Supplemental guidance
Measures employed by organizations to help facilitate the retrieval of audit records include, for example, converting records to newer formats, retaining equipment capable of reading the records, and retaining necessary documentation to help organizational personnel understand how to interpret the records.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Audit and accountability policy
audit record retention policy and procedures
information system design documentation
information system configuration settings and associated documentation
audit record archives
audit logs
audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with audit record retention responsibilities
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Automated mechanisms implementing audit record retention capability
References: None
AU-12 AUDIT GENERATION
Label: INSERT into au-12_smt_a (AU-12a.)
Parameter: au-12_prm_1 organization-defined information system components
Label: INSERT into au-12_smt_b (AU-12b.)
Parameter: au-12_prm_2 organization-defined personnel or roles
Control
|
The information system:
|
Supplemental guidance
Audit records can be generated from many different information system components. The list of audited events is the set of events for which audits are to be generated. These events are typically a subset of all events for which the information system is capable of generating audit records.
cf AU-3: CONTENT OF AUDIT RECORDS
Objectives
|
Determine if:
|
Assessment: EXAMINE
Audit and accountability policy
procedures addressing audit record generation
security plan
information system design documentation
information system configuration settings and associated documentation
list of auditable events
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with audit record generation responsibilities
organizational personnel with information security responsibilities
system/network administrators
system developers
Assessment: TEST
Automated mechanisms implementing audit record generation capability
Control enhancements
AU-12 (1) SYSTEM-WIDE / TIME-CORRELATED AUDIT TRAIL
Label: INSERT into au-12..1.
Parameter: au-12_prm_3 organization-defined information system components
Label: INSERT into au-12..1.
Parameter: au-12_prm_4 organization-defined level of tolerance for the relationship between time stamps of individual records in the audit trail
Control
|
The information system compiles audit records from au-12_prm_3 INSERT into au-12..1. [NO PARAMETER VALUE GIVEN] into a system-wide (logical or physical) audit trail that is time-correlated to within au-12_prm_4 INSERT into au-12..1. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Audit trails are time-correlated if the time stamps in the individual audit records can be reliably related to the time stamps in other audit records to achieve a time ordering of the records within organizational tolerances.
Objectives
|
Determine if:
|
Assessment: EXAMINE
Audit and accountability policy
procedures addressing audit record generation
information system design documentation
information system configuration settings and associated documentation
system-wide audit trail (logical or physical)
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with audit record generation responsibilities
organizational personnel with information security responsibilities
system/network administrators
system developers
Assessment: TEST
Automated mechanisms implementing audit record generation capability
AU-12 (2) STANDARDIZED FORMATS
Control
|
The information system produces a system-wide (logical or physical) audit trail composed of audit records in a standardized format. |
Supplemental guidance
Audit information that is normalized to common standards promotes interoperability and exchange of such information between dissimilar devices and information systems. This facilitates production of event information that can be more readily analyzed and correlated. Standard formats for audit records include, for example, system log records and audit records compliant with Common Event Expressions (CEE). If logging mechanisms within information systems do not conform to standardized formats, systems may convert individual audit records into standardized formats when compiling system-wide audit trails.
Objective
|
Determine if the information system produces a system-wide (logical or physical) audit trail composed of audit records in a standardized format. |
Assessment: EXAMINE
Audit and accountability policy
procedures addressing audit record generation
information system design documentation
information system configuration settings and associated documentation
system-wide audit trail (logical or physical)
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with audit record generation responsibilities
organizational personnel with information security responsibilities
system/network administrators
system developers
Assessment: TEST
Automated mechanisms implementing audit record generation capability
AU-12 (3) CHANGES BY AUTHORIZED INDIVIDUALS
Label: INSERT into au-12..3.
Parameter: au-12_prm_5 organization-defined individuals or roles
Label: INSERT into au-12..3.
Parameter: au-12_prm_6 organization-defined information system components
Label: INSERT into au-12..3.
Parameter: au-12_prm_7 organization-defined selectable event criteria
Label: INSERT into au-12..3.
Parameter: au-12_prm_8 organization-defined time thresholds
Control
|
The information system provides the capability for au-12_prm_5 INSERT into au-12..3. [NO PARAMETER VALUE GIVEN] to change the auditing to be performed on au-12_prm_6 INSERT into au-12..3. [NO PARAMETER VALUE GIVEN] based on au-12_prm_7 INSERT into au-12..3. [NO PARAMETER VALUE GIVEN] within au-12_prm_8 INSERT into au-12..3. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
This control enhancement enables organizations to extend or limit auditing as necessary to meet organizational requirements. Auditing that is limited to conserve information system resources may be extended to address certain threat situations. In addition, auditing may be limited to a specific set of events to facilitate audit reduction, analysis, and reporting. Organizations can establish time thresholds in which audit actions are changed, for example, near real-time, within minutes, or within hours.
Objectives
|
Determine if:
|
Assessment: EXAMINE
Audit and accountability policy
procedures addressing audit record generation
information system design documentation
information system configuration settings and associated documentation
system-generated list of individuals or roles authorized to change auditing to be performed
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with audit record generation responsibilities
organizational personnel with information security responsibilities
system/network administrators
system developers
Assessment: TEST
Automated mechanisms implementing audit record generation capability
References: None
AU-13 MONITORING FOR INFORMATION DISCLOSURE
Label: INSERT into au-13
Parameter: au-13_prm_1 organization-defined open source information and/or information sites
Label: INSERT into au-13
Parameter: au-13_prm_2 organization-defined frequency
Control
|
The organization monitors au-13_prm_1 INSERT into au-13 [NO PARAMETER VALUE GIVEN] au-13_prm_2 INSERT into au-13 [NO PARAMETER VALUE GIVEN] for evidence of unauthorized disclosure of organizational information. |
Supplemental guidance
Open source information includes, for example, social networking sites.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Audit and accountability policy
procedures addressing information disclosure monitoring
information system design documentation
information system configuration settings and associated documentation
monitoring records
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibilities for monitoring open source information and/or information sites
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms implementing monitoring for information disclosure
Control enhancements
AU-13 (1) USE OF AUTOMATED TOOLS
Control
|
The organization employs automated mechanisms to determine if organizational information has been disclosed in an unauthorized manner. |
Supplemental guidance
Automated mechanisms can include, for example, automated scripts to monitor new posts on selected websites, and commercial services providing notifications and alerts to organizations.
Objective
|
Determine if the organization employs automated mechanisms to determine if organizational information has been disclosed in an unauthorized manner. |
Assessment: EXAMINE
Audit and accountability policy
procedures addressing information disclosure monitoring
information system design documentation
information system configuration settings and associated documentation
automated monitoring tools
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibilities for monitoring information disclosures
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms implementing monitoring for information disclosure
AU-13 (2) REVIEW OF MONITORED SITES
Label: INSERT into au-13..2.
Parameter: au-13_prm_3 organization-defined frequency
Control
|
The organization reviews the open source information sites being monitored au-13_prm_3 INSERT into au-13..2. [NO PARAMETER VALUE GIVEN] . |
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Audit and accountability policy
procedures addressing information disclosure monitoring
information system design documentation
information system configuration settings and associated documentation
reviews for open source information sites being monitored
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibilities for monitoring open source information sites
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms implementing monitoring for information disclosure
References: None
AU-14 SESSION AUDIT
Control
|
The information system provides the capability for authorized users to select a user session to capture/record or view/hear. |
Supplemental guidance
Session audits include, for example, monitoring keystrokes, tracking websites visited, and recording information and/or file transfers. Session auditing activities are developed, integrated, and used in consultation with legal counsel in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, or standards.
cf AU-4: AUDIT STORAGE CAPACITY
cf AU-5: RESPONSE TO AUDIT PROCESSING FAILURES
Objectives
|
Determine if the information system provides the capability for authorized users to select a user session to:
|
Assessment: EXAMINE
Audit and accountability policy
procedures addressing user session auditing
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information security responsibilities
system/network administrators
system developers
Assessment: TEST
Automated mechanisms implementing user session auditing capability
Control enhancements
AU-14 (1) SYSTEM START-UP
Control
|
The information system initiates session audits at system start-up. |
Objective
|
Determine if the information system initiates session audits at system start-up. |
Assessment: EXAMINE
Audit and accountability policy
procedures addressing user session auditing
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information security responsibilities
system/network administrators
system developers
Assessment: TEST
Automated mechanisms implementing user session auditing capability
AU-14 (2) CAPTURE/RECORD AND LOG CONTENT
Control
|
The information system provides the capability for authorized users to capture/record and log content related to a user session. |
Objectives
|
Determine if the information system provides the capability for authorized users to:
|
Assessment: EXAMINE
Audit and accountability policy
procedures addressing user session auditing
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information security responsibilities
system/network administrators
system developers
Assessment: TEST
Automated mechanisms implementing user session auditing capability
AU-14 (3) REMOTE VIEWING / LISTENING
Control
|
The information system provides the capability for authorized users to remotely view/hear all content related to an established user session in real time. |
Objective
|
Determine if the information system provides the capability for authorized users to remotely view/hear all content related to an established user session in real time. |
Assessment: EXAMINE
Audit and accountability policy
procedures addressing user session auditing
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information security responsibilities
system/network administrators
system developers
Assessment: TEST
Automated mechanisms implementing user session auditing capability
References: None
AU-15 ALTERNATE AUDIT CAPABILITY
Label: INSERT into au-15
Parameter: au-15_prm_1 organization-defined alternate audit functionality
Control
|
The organization provides an alternate audit capability in the event of a failure in primary audit capability that provides au-15_prm_1 INSERT into au-15 [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Since an alternate audit capability may be a short-term protection employed until the failure in the primary auditing capability is corrected, organizations may determine that the alternate audit capability need only provide a subset of the primary audit functionality that is impacted by the failure.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Audit and accountability policy
procedures addressing alternate audit capability
information system design documentation
information system configuration settings and associated documentation
test records for alternative audit capability
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel responsible for providing alternate audit capability
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms implementing alternative audit capability
References: None
AU-16 CROSS-ORGANIZATIONAL AUDITING
Label: INSERT into au-16
Parameter: au-16_prm_1 organization-defined methods
Label: INSERT into au-16
Parameter: au-16_prm_2 organization-defined audit information
Control
|
The organization employs au-16_prm_1 INSERT into au-16 [NO PARAMETER VALUE GIVEN] for coordinating au-16_prm_2 INSERT into au-16 [NO PARAMETER VALUE GIVEN] among external organizations when audit information is transmitted across organizational boundaries. |
Supplemental guidance
When organizations use information systems and/or services of external organizations, the auditing capability necessitates a coordinated approach across organizations. For example, maintaining the identity of individuals that requested particular services across organizational boundaries may often be very difficult, and doing so may prove to have significant performance ramifications. Therefore, it is often the case that cross-organizational auditing (e.g., the type of auditing capability provided by service-oriented architectures) simply captures the identity of individuals issuing requests at the initial information system, and subsequent systems record that the requests emanated from authorized individuals.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Audit and accountability policy
procedures addressing methods for coordinating audit information among external organizations
information system design documentation
information system configuration settings and associated documentation
methods for coordinating audit information among external organizations
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibilities for coordinating audit information among external organizations
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms implementing cross-organizational auditing (if applicable)
Control enhancements
AU-16 (1) IDENTITY PRESERVATION
Control
|
The organization requires that the identity of individuals be preserved in cross-organizational audit trails. |
Supplemental guidance
This control enhancement applies when there is a need to be able to trace actions that are performed across organizational boundaries to a specific individual.
Objective
|
Determine if the organization requires that the identity of individuals be preserved in cross- organizational audit trails. |
Assessment: EXAMINE
Audit and accountability policy
procedures addressing cross-organizational audit trails
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with cross-organizational audit responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms implementing cross-organizational auditing (if applicable)
AU-16 (2) SHARING OF AUDIT INFORMATION
Label: INSERT into au-16..2.
Parameter: au-16_prm_3 organization-defined organizations
Label: INSERT into au-16..2.
Parameter: au-16_prm_4 organization-defined cross-organizational sharing agreements
Control
|
The organization provides cross-organizational audit information to au-16_prm_3 INSERT into au-16..2. [NO PARAMETER VALUE GIVEN] based on au-16_prm_4 INSERT into au-16..2. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Because of the distributed nature of the audit information, cross-organization sharing of audit information may be essential for effective analysis of the auditing being performed. For example, the audit records of one organization may not provide sufficient information to determine the appropriate or inappropriate use of organizational information resources by individuals in other organizations. In some instances, only the home organizations of individuals have the appropriate knowledge to make such determinations, thus requiring the sharing of audit information among organizations.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Audit and accountability policy
procedures addressing cross-organizational sharing of audit information
cross-organizational sharing agreements
data sharing agreements
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibilities for sharing cross-organizational audit information
organizational personnel with information security responsibilities
References: None
SECURITY ASSESSMENT AND AUTHORIZATION
CA-1 SECURITY ASSESSMENT AND AUTHORIZATION POLICY AND PROCEDURES
Label: INSERT into ca-1_smt_a (CA-1a.)
Parameter: ca-1_prm_1 organization-defined personnel or roles
Label: INSERT into ca-1_smt_b.1 (CA-1b.1.)
Parameter: ca-1_prm_2 organization-defined frequency
Label: INSERT into ca-1_smt_b.2 (CA-1b.2.)
Parameter: ca-1_prm_3 organization-defined frequency
Control
|
The organization:
|
Supplemental guidance
This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the CA family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Security assessment and authorization policy and procedures
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with security assessment and authorization responsibilities
organizational personnel with information security responsibilities
CA-2 SECURITY ASSESSMENTS
Label: INSERT into ca-2_smt_b (CA-2b.)
Parameter: ca-2_prm_1 organization-defined frequency
Label: INSERT into ca-2_smt_d (CA-2d.)
Parameter: ca-2_prm_2 organization-defined individuals or roles
Control
|
The organization:
|
Supplemental guidance
Organizations assess security controls in organizational information systems and the environments in which those systems operate as part of: (i) initial and ongoing security authorizations; (ii) FISMA annual assessments; (iii) continuous monitoring; and (iv) system development life cycle activities. Security assessments: (i) ensure that information security is built into organizational information systems; (ii) identify weaknesses and deficiencies early in the development process; (iii) provide essential information needed to make risk-based decisions as part of security authorization processes; and (iv) ensure compliance to vulnerability mitigation procedures. Assessments are conducted on the implemented security controls from Appendix F (main catalog) and Appendix G (Program Management controls) as documented in System Security Plans and Information Security Program Plans. Organizations can use other types of assessment activities such as vulnerability scanning and system monitoring to maintain the security posture of information systems during the entire life cycle. Security assessment reports document assessment results in sufficient detail as deemed necessary by organizations, to determine the accuracy and completeness of the reports and whether the security controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting security requirements. The FISMA requirement for assessing security controls at least annually does not require additional assessment activities to those activities already in place in organizational security authorization processes. Security assessment results are provided to the individuals or roles appropriate for the types of assessments being conducted. For example, assessments conducted in support of security authorization decisions are provided to authorizing officials or authorizing official designated representatives. To satisfy annual assessment requirements, organizations can use assessment results from the following sources: (i) initial or ongoing information system authorizations; (ii) continuous monitoring; or (iii) system development life cycle activities. Organizations ensure that security assessment results are current, relevant to the determination of security control effectiveness, and obtained with the appropriate level of assessor independence. Existing security control assessment results can be reused to the extent that the results are still valid and can also be supplemented with additional assessments as needed. Subsequent to initial authorizations and in accordance with OMB policy, organizations assess security controls during continuous monitoring. Organizations establish the frequency for ongoing security control assessments in accordance with organizational continuous monitoring strategies. Information Assurance Vulnerability Alerts provide useful examples of vulnerability mitigation procedures. External audits (e.g., audits by external entities such as regulatory agencies) are outside the scope of this control.
cf CA-5: PLAN OF ACTION AND MILESTONES
cf CA-6: SECURITY AUTHORIZATION
cf CA-7: CONTINUOUS MONITORING
cf PM-9: RISK MANAGEMENT STRATEGY
cf RA-5: VULNERABILITY SCANNING
cf SA-11: DEVELOPER SECURITY TESTING AND EVALUATION
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Security assessment and authorization policy
procedures addressing security assessment planning
procedures addressing security assessments
security assessment plan
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with security assessment responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms supporting security assessment, security assessment plan development, and/or security assessment reporting
Control enhancements
CA-2 (1) INDEPENDENT ASSESSORS
Label: INSERT into ca-2..1.
Parameter: ca-2_prm_3 organization-defined level of independence
Control
|
The organization employs assessors or assessment teams with ca-2_prm_3 INSERT into ca-2..1. [NO PARAMETER VALUE GIVEN] to conduct security control assessments. |
Supplemental guidance
Independent assessors or assessment teams are individuals or groups who conduct impartial assessments of organizational information systems. Impartiality implies that assessors are free from any perceived or actual conflicts of interest with regard to the development, operation, or management of the organizational information systems under assessment or to the determination of security control effectiveness. To achieve impartiality, assessors should not: (i) create a mutual or conflicting interest with the organizations where the assessments are being conducted; (ii) assess their own work; (iii) act as management or employees of the organizations they are serving; or (iv) place themselves in positions of advocacy for the organizations acquiring their services. Independent assessments can be obtained from elements within organizations or can be contracted to public or private sector entities outside of organizations. Authorizing officials determine the required level of independence based on the security categories of information systems and/or the ultimate risk to organizational operations, organizational assets, or individuals. Authorizing officials also determine if the level of assessor independence provides sufficient assurance that the results are sound and can be used to make credible, risk-based decisions. This includes determining whether contracted security assessment services have sufficient independence, for example, when information system owners are not directly involved in contracting processes or cannot unduly influence the impartiality of assessors conducting assessments. In special situations, for example, when organizations that own the information systems are small or organizational structures require that assessments are conducted by individuals that are in the developmental, operational, or management chain of system owners, independence in assessment processes can be achieved by ensuring that assessment results are carefully reviewed and analyzed by independent teams of experts to validate the completeness, accuracy, integrity, and reliability of the results. Organizations recognize that assessments performed for purposes other than direct support to authorization decisions are, when performed by assessors with sufficient independence, more likely to be useable for such decisions, thereby reducing the need to repeat assessments.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Security assessment and authorization policy
procedures addressing security assessments
security authorization package (including security plan, security assessment plan, security assessment report, plan of action and milestones, authorization statement)
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with security assessment responsibilities
organizational personnel with information security responsibilities
CA-2 (2) SPECIALIZED ASSESSMENTS
Label: INSERT into ca-2..2.
Parameter: ca-2_prm_4 organization-defined frequency
Label: SELECT for { ancestor-or-self::*[@id][1]/@id }
announced
unannounced
Label: SELECT for { ancestor-or-self::*[@id][1]/@id }
in-depth monitoring
vulnerability scanning
malicious user testing
insider threat assessment
performance/load testing
ca-2_prm_7 INSERT into ca-2..2. [NO PARAMETER VALUE GIVEN]
Label: INSERT into ca-2..2.
Parameter: ca-2_prm_7 organization-defined other forms of security assessment
Control
|
The organization includes as part of security control assessments, ca-2_prm_4 INSERT into ca-2..2. [NO PARAMETER VALUE GIVEN] , ca-2_prm_5 SELECT for { ancestor-or-self::*[@id][1]/@id } announced unannounced [NO PARAMETER VALUE GIVEN] , ca-2_prm_6 SELECT for { ancestor-or-self::*[@id][1]/@id } in-depth monitoring vulnerability scanning malicious user testing insider threat assessment performance/load testing [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Organizations can employ information system monitoring, insider threat assessments, malicious user testing, and other forms of testing (e.g., verification and validation) to improve readiness by exercising organizational capabilities and indicating current performance levels as a means of focusing actions to improve security. Organizations conduct assessment activities in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, and standards. Authorizing officials approve the assessment methods in coordination with the organizational risk executive function. Organizations can incorporate vulnerabilities uncovered during assessments into vulnerability remediation processes.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Security assessment and authorization policy
procedures addressing security assessments
security plan
security assessment plan
security assessment report
security assessment evidence
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with security assessment responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms supporting security control assessment
CA-2 (3) EXTERNAL ORGANIZATIONS
Label: INSERT into ca-2..3.
Parameter: ca-2_prm_8 organization-defined information system
Label: INSERT into ca-2..3.
Parameter: ca-2_prm_9 organization-defined external organization
Label: INSERT into ca-2..3.
Parameter: ca-2_prm_10 organization-defined requirements
Control
|
The organization accepts the results of an assessment of ca-2_prm_8 INSERT into ca-2..3. [NO PARAMETER VALUE GIVEN] performed by ca-2_prm_9 INSERT into ca-2..3. [NO PARAMETER VALUE GIVEN] when the assessment meets ca-2_prm_10 INSERT into ca-2..3. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Organizations may often rely on assessments of specific information systems by other (external) organizations. Utilizing such existing assessments (i.e., reusing existing assessment evidence) can significantly decrease the time and resources required for organizational assessments by limiting the amount of independent assessment activities that organizations need to perform. The factors that organizations may consider in determining whether to accept assessment results from external organizations can vary. Determinations for accepting assessment results can be based on, for example, past assessment experiences one organization has had with another organization, the reputation that organizations have with regard to assessments, the level of detail of supporting assessment documentation provided, or mandates imposed upon organizations by federal legislation, policies, or directives.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Security assessment and authorization policy
procedures addressing security assessments
security plan
security assessment requirements
security assessment plan
security assessment report
security assessment evidence
plan of action and milestones
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with security assessment responsibilities
organizational personnel with information security responsibilities
personnel performing security assessments for the specified external organization
CA-3 SYSTEM INTERCONNECTIONS
Label: INSERT into ca-3_smt_c (CA-3c.)
Parameter: ca-3_prm_1 organization-defined frequency
Control
|
The organization:
|
Supplemental guidance
This control applies to dedicated connections between information systems (i.e., system interconnections) and does not apply to transitory, user-controlled connections such as email and website browsing. Organizations carefully consider the risks that may be introduced when information systems are connected to other systems with different security requirements and security controls, both within organizations and external to organizations. Authorizing officials determine the risk associated with information system connections and the appropriate controls employed. If interconnecting systems have the same authorizing official, organizations do not need to develop Interconnection Security Agreements. Instead, organizations can describe the interface characteristics between those interconnecting systems in their respective security plans. If interconnecting systems have different authorizing officials within the same organization, organizations can either develop Interconnection Security Agreements or describe the interface characteristics between systems in the security plans for the respective systems. Organizations may also incorporate Interconnection Security Agreement information into formal contracts, especially for interconnections established between federal agencies and nonfederal (i.e., private sector) organizations. Risk considerations also include information systems sharing the same networks. For certain technologies (e.g., space, unmanned aerial vehicles, and medical devices), there may be specialized connections in place during preoperational testing. Such connections may require Interconnection Security Agreements and be subject to additional security controls.
cf AC-4: INFORMATION FLOW ENFORCEMENT
cf AC-20: USE OF EXTERNAL INFORMATION SYSTEMS
cf AU-16: CROSS-ORGANIZATIONAL AUDITING
cf CA-7: CONTINUOUS MONITORING
cf IA-3: DEVICE IDENTIFICATION AND AUTHENTICATION
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Access control policy
procedures addressing information system connections
system and communications protection policy
information system Interconnection Security Agreements
security plan
information system design documentation
information system configuration settings and associated documentation
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibility for developing, implementing, or approving information system interconnection agreements
organizational personnel with information security responsibilities
personnel managing the system(s) to which the Interconnection Security Agreement applies
Control enhancements
CA-3 (1) UNCLASSIFIED NATIONAL SECURITY SYSTEM CONNECTIONS
Label: INSERT into ca-3..1.
Parameter: ca-3_prm_2 organization-defined unclassified, national security system
Label: INSERT into ca-3..1.
Parameter: ca-3_prm_3 organization-defined boundary protection device
Control
|
The organization prohibits the direct connection of an ca-3_prm_2 INSERT into ca-3..1. [NO PARAMETER VALUE GIVEN] to an external network without the use of ca-3_prm_3 INSERT into ca-3..1. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Organizations typically do not have control over external networks (e.g., the Internet). Approved boundary protection devices (e.g., routers, firewalls) mediate communications (i.e., information flows) between unclassified national security systems and external networks. This control enhancement is required for organizations processing, storing, or transmitting Controlled Unclassified Information (CUI).
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Access control policy
procedures addressing information system connections
system and communications protection policy
information system interconnection security agreements
security plan
information system design documentation
information system configuration settings and associated documentation
security assessment report
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibility for managing direct connections to external networks
network administrators
organizational personnel with information security responsibilities
personnel managing directly connected external networks
Assessment: TEST
Automated mechanisms supporting the management of external network connections
CA-3 (2) CLASSIFIED NATIONAL SECURITY SYSTEM CONNECTIONS
Label: INSERT into ca-3..2.
Parameter: ca-3_prm_4 organization-defined boundary protection device
Control
|
The organization prohibits the direct connection of a classified, national security system to an external network without the use of ca-3_prm_4 INSERT into ca-3..2. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Organizations typically do not have control over external networks (e.g., the Internet). Approved boundary protection devices (e.g., routers, firewalls) mediate communications (i.e., information flows) between classified national security systems and external networks. In addition, approved boundary protection devices (typically managed interface/cross-domain systems) provide information flow enforcement from information systems to external networks.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Access control policy
procedures addressing information system connections
system and communications protection policy
information system interconnection security agreements
security plan
information system design documentation
information system configuration settings and associated documentation
security assessment report
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibility for managing direct connections to external networks
network administrators
organizational personnel with information security responsibilities
personnel managing directly connected external networks
Assessment: TEST
Automated mechanisms supporting the management of external network connections
CA-3 (3) UNCLASSIFIED NON-NATIONAL SECURITY SYSTEM CONNECTIONS
Label: INSERT into ca-3..3.
Parameter: ca-3_prm_5 organization-defined unclassified, non-national security system
Label: INSERT into ca-3..3.
Parameter: ca-3_prm_6 Assignment; organization-defined boundary protection device
Control
|
The organization prohibits the direct connection of an ca-3_prm_5 INSERT into ca-3..3. [NO PARAMETER VALUE GIVEN] to an external network without the use of ca-3_prm_6 INSERT into ca-3..3. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Organizations typically do not have control over external networks (e.g., the Internet). Approved boundary protection devices (e.g., routers, firewalls) mediate communications (i.e., information flows) between unclassified non-national security systems and external networks. This control enhancement is required for organizations processing, storing, or transmitting Controlled Unclassified Information (CUI).
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Access control policy
procedures addressing information system connections
system and communications protection policy
information system interconnection security agreements
security plan
information system design documentation
information system configuration settings and associated documentation
security assessment report
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibility for managing direct connections to external networks
network administrators
organizational personnel with information security responsibilities
personnel managing directly connected external networks
Assessment: TEST
Automated mechanisms supporting the management of external network connections
CA-3 (4) CONNECTIONS TO PUBLIC NETWORKS
Label: INSERT into ca-3..4.
Parameter: ca-3_prm_7 organization-defined information system
Control
|
The organization prohibits the direct connection of an ca-3_prm_7 INSERT into ca-3..4. [NO PARAMETER VALUE GIVEN] to a public network. |
Supplemental guidance
A public network is any network accessible to the general public including, for example, the Internet and organizational extranets with public access.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Access control policy
procedures addressing information system connections
system and communications protection policy
information system interconnection security agreements
security plan
information system design documentation
information system configuration settings and associated documentation
security assessment report
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Network administrators
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms supporting the management of public network connections
CA-3 (5) RESTRICTIONS ON EXTERNAL SYSTEM CONNECTIONS
Label: SELECT for { ancestor-or-self::*[@id][1]/@id }
allow-all, deny-by-exception
deny-all, permit-by-exception
Label: INSERT into ca-3..5.
Parameter: ca-3_prm_9 organization-defined information systems
Control
|
The organization employs ca-3_prm_8 SELECT for { ancestor-or-self::*[@id][1]/@id } allow-all, deny-by-exception deny-all, permit-by-exception [NO PARAMETER VALUE GIVEN] policy for allowing ca-3_prm_9 INSERT into ca-3..5. [NO PARAMETER VALUE GIVEN] to connect to external information systems. |
Supplemental guidance
Organizations can constrain information system connectivity to external domains (e.g., websites) by employing one of two policies with regard to such connectivity: (i) allow-all, deny by exception, also known as blacklisting (the weaker of the two policies); or (ii) deny-all, allow by exception, also known as whitelisting (the stronger of the two policies). For either policy, organizations determine what exceptions, if any, are acceptable.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Access control policy
procedures addressing information system connections
system and communications protection policy
information system interconnection agreements
security plan
information system design documentation
information system configuration settings and associated documentation
security assessment report
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibility for managing connections to external information systems
network administrators
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms implementing restrictions on external system connections
CA-4 SECURITY CERTIFICATION
Control
|
Withdrawn: Incorporated into CA-2. |
References: None
CA-5 PLAN OF ACTION AND MILESTONES
Label: INSERT into ca-5_smt_b (CA-5b.)
Parameter: ca-5_prm_1 organization-defined frequency
Control
|
The organization:
|
Supplemental guidance
Plans of action and milestones are key documents in security authorization packages and are subject to federal reporting requirements established by OMB.
cf CA-7: CONTINUOUS MONITORING
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Security assessment and authorization policy
procedures addressing plan of action and milestones
security plan
security assessment plan
security assessment report
security assessment evidence
plan of action and milestones
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with plan of action and milestones development and implementation responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms for developing, implementing, and maintaining plan of action and milestones
Control enhancements
CA-5 (1) AUTOMATION SUPPORT FOR ACCURACY / CURRENCY
Control
|
The organization employs automated mechanisms to help ensure that the plan of action and milestones for the information system is accurate, up to date, and readily available. |
Objectives
|
Determine if the organization employs automated mechanisms to help ensure that the plan of action and milestones for the information system is:
|
Assessment: EXAMINE
Security assessment and authorization policy
procedures addressing plan of action and milestones
information system design documentation, information system configuration settings and associated documentation
information system audit records
plan of action and milestones
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with plan of action and milestones development and implementation responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms for developing, implementing and maintaining plan of action and milestones
CA-6 SECURITY AUTHORIZATION
Label: INSERT into ca-6_smt_c (CA-6c.)
Parameter: ca-6_prm_1 organization-defined frequency
Control
|
The organization:
|
Supplemental guidance
Security authorizations are official management decisions, conveyed through authorization decision documents, by senior organizational officials or executives (i.e., authorizing officials) to authorize operation of information systems and to explicitly accept the risk to organizational operations and assets, individuals, other organizations, and the Nation based on the implementation of agreed-upon security controls. Authorizing officials provide budgetary oversight for organizational information systems or assume responsibility for the mission/business operations supported by those systems. The security authorization process is an inherently federal responsibility and therefore, authorizing officials must be federal employees. Through the security authorization process, authorizing officials assume responsibility and are accountable for security risks associated with the operation and use of organizational information systems. Accordingly, authorizing officials are in positions with levels of authority commensurate with understanding and accepting such information security-related risks. OMB policy requires that organizations conduct ongoing authorizations of information systems by implementing continuous monitoring programs. Continuous monitoring programs can satisfy three-year reauthorization requirements, so separate reauthorization processes are not necessary. Through the employment of comprehensive continuous monitoring processes, critical information contained in authorization packages (i.e., security plans, security assessment reports, and plans of action and milestones) is updated on an ongoing basis, providing authorizing officials and information system owners with an up-to-date status of the security state of organizational information systems and environments of operation. To reduce the administrative cost of security reauthorization, authorizing officials use the results of continuous monitoring processes to the maximum extent possible as the basis for rendering reauthorization decisions.
cf CA-7: CONTINUOUS MONITORING
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Security assessment and authorization policy
procedures addressing security authorization
security authorization package (including security plan
security assessment report
plan of action and milestones
authorization statement)
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with security authorization responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms that facilitate security authorizations and updates
References
CA-7 CONTINUOUS MONITORING
Label: INSERT into ca-7_smt_a (CA-7a.)
Parameter: ca-7_prm_1 organization-defined metrics
Label: INSERT into ca-7_smt_b (CA-7b.)
Parameter: ca-7_prm_2 organization-defined frequencies
Label: INSERT into ca-7_smt_b (CA-7b.)
Parameter: ca-7_prm_3 organization-defined frequencies
Label: INSERT into ca-7_smt_g (CA-7g.)
Parameter: ca-7_prm_4 organization-defined personnel or roles
Label: INSERT into ca-7_smt_g (CA-7g.)
Parameter: ca-7_prm_5 organization-defined frequency
Control
|
The organization develops a continuous monitoring strategy and implements a continuous monitoring program that includes:
|
Supplemental guidance
Continuous monitoring programs facilitate ongoing awareness of threats, vulnerabilities, and information security to support organizational risk management decisions. The terms continuous and ongoing imply that organizations assess/analyze security controls and information security-related risks at a frequency sufficient to support organizational risk-based decisions. The results of continuous monitoring programs generate appropriate risk response actions by organizations. Continuous monitoring programs also allow organizations to maintain the security authorizations of information systems and common controls over time in highly dynamic environments of operation with changing mission/business needs, threats, vulnerabilities, and technologies. Having access to security-related information on a continuing basis through reports/dashboards gives organizational officials the capability to make more effective and timely risk management decisions, including ongoing security authorization decisions. Automation supports more frequent updates to security authorization packages, hardware/software/firmware inventories, and other system information. Effectiveness is further enhanced when continuous monitoring outputs are formatted to provide information that is specific, measurable, actionable, relevant, and timely. Continuous monitoring activities are scaled in accordance with the security categories of information systems.
cf CA-5: PLAN OF ACTION AND MILESTONES
cf CA-6: SECURITY AUTHORIZATION
cf CM-3: CONFIGURATION CHANGE CONTROL
cf CM-4: SECURITY IMPACT ANALYSIS
cf PM-6: INFORMATION SECURITY MEASURES OF PERFORMANCE
cf PM-9: RISK MANAGEMENT STRATEGY
cf RA-5: VULNERABILITY SCANNING
cf SA-11: DEVELOPER SECURITY TESTING AND EVALUATION
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Security assessment and authorization policy
procedures addressing continuous monitoring of information system security controls
procedures addressing configuration management
security plan
security assessment report
plan of action and milestones
information system monitoring records
configuration management records, security impact analyses
status reports
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with continuous monitoring responsibilities
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Mechanisms implementing continuous monitoring
Control enhancements
CA-7 (1) INDEPENDENT ASSESSMENT
Label: INSERT into ca-7..1.
Parameter: ca-7_prm_6 organization-defined level of independence
Control
|
The organization employs assessors or assessment teams with ca-7_prm_6 INSERT into ca-7..1. [NO PARAMETER VALUE GIVEN] to monitor the security controls in the information system on an ongoing basis. |
Supplemental guidance
Organizations can maximize the value of assessments of security controls during the continuous monitoring process by requiring that such assessments be conducted by assessors or assessment teams with appropriate levels of independence based on continuous monitoring strategies. Assessor independence provides a degree of impartiality to the monitoring process. To achieve such impartiality, assessors should not: (i) create a mutual or conflicting interest with the organizations where the assessments are being conducted; (ii) assess their own work; (iii) act as management or employees of the organizations they are serving; or (iv) place themselves in advocacy positions for the organizations acquiring their services.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Security assessment and authorization policy
procedures addressing continuous monitoring of information system security controls
security plan
security assessment report
plan of action and milestones
information system monitoring records
security impact analyses
status reports
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with continuous monitoring responsibilities
organizational personnel with information security responsibilities
CA-7 (2) TYPES OF ASSESSMENTS
Control
|
Withdrawn: Incorporated into CA-2. |
CA-7 (3) TREND ANALYSES
Control
|
The organization employs trend analyses to determine if security control implementations, the frequency of continuous monitoring activities, and/or the types of activities used in the continuous monitoring process need to be modified based on empirical data. |
Supplemental guidance
Trend analyses can include, for example, examining recent threat information regarding the types of threat events that have occurred within the organization or across the federal government, success rates of certain types of cyber attacks, emerging vulnerabilities in information technologies, evolving social engineering techniques, results from multiple security control assessments, the effectiveness of configuration settings, and findings from Inspectors General or auditors.
Objectives
|
Determine if the organization employs trend analyses to determine if the following items need to be modified based on empirical data:
|
Assessment: EXAMINE
Continuous monitoring strategy
Security assessment and authorization policy
procedures addressing continuous monitoring of information system security controls
security plan
security assessment report
plan of action and milestones
information system monitoring records
security impact analyses
status reports
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with continuous monitoring responsibilities
organizational personnel with information security responsibilities
CA-8 PENETRATION TESTING
Label: INSERT into ca-8
Parameter: ca-8_prm_1 organization-defined frequency
Label: INSERT into ca-8
Parameter: ca-8_prm_2 organization-defined information systems or system components
Control
|
The organization conducts penetration testing ca-8_prm_1 INSERT into ca-8 [NO PARAMETER VALUE GIVEN] on ca-8_prm_2 INSERT into ca-8 [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Penetration testing is a specialized type of assessment conducted on information systems or individual system components to identify vulnerabilities that could be exploited by adversaries. Such testing can be used to either validate vulnerabilities or determine the degree of resistance organizational information systems have to adversaries within a set of specified constraints (e.g., time, resources, and/or skills). Penetration testing attempts to duplicate the actions of adversaries in carrying out hostile cyber attacks against organizations and provides a more in-depth analysis of security-related weaknesses/deficiencies. Organizations can also use the results of vulnerability analyses to support penetration testing activities. Penetration testing can be conducted on the hardware, software, or firmware components of an information system and can exercise both physical and technical security controls. A standard method for penetration testing includes, for example: (i) pretest analysis based on full knowledge of the target system; (ii) pretest identification of potential vulnerabilities based on pretest analysis; and (iii) testing designed to determine exploitability of identified vulnerabilities. All parties agree to the rules of engagement before the commencement of penetration testing scenarios. Organizations correlate the penetration testing rules of engagement with the tools, techniques, and procedures that are anticipated to be employed by adversaries carrying out attacks. Organizational risk assessments guide decisions on the level of independence required for personnel conducting penetration testing.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Security assessment and authorization policy
procedures addressing penetration testing
security plan
security assessment plan
penetration test report
security assessment report
security assessment evidence
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with security assessment responsibilities
organizational personnel with information security responsibilities, system/network administrators
Assessment: TEST
Automated mechanisms supporting penetration testing
Control enhancements
CA-8 (1) INDEPENDENT PENETRATION AGENT OR TEAM
Control
|
The organization employs an independent penetration agent or penetration team to perform penetration testing on the information system or system components. |
Supplemental guidance
Independent penetration agents or teams are individuals or groups who conduct impartial penetration testing of organizational information systems. Impartiality implies that penetration agents or teams are free from any perceived or actual conflicts of interest with regard to the development, operation, or management of the information systems that are the targets of the penetration testing. Supplemental guidance for CA-2 (1) provides additional information regarding independent assessments that can be applied to penetration testing.
Objective
|
Determine if the organization employs an independent penetration agent or penetration team to perform penetration testing on the information system or system components. |
Assessment: EXAMINE
Security assessment and authorization policy
procedures addressing penetration testing
security plan
security assessment plan
penetration test report
security assessment report
security assessment evidence
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with security assessment responsibilities
organizational personnel with information security responsibilities
CA-8 (2) RED TEAM EXERCISES
Label: INSERT into ca-8..2.
Parameter: ca-8_prm_3 organization-defined red team exercises
Label: INSERT into ca-8..2.
Parameter: ca-8_prm_4 organization-defined rules of engagement
Control
|
The organization employs ca-8_prm_3 INSERT into ca-8..2. [NO PARAMETER VALUE GIVEN] to simulate attempts by adversaries to compromise organizational information systems in accordance with ca-8_prm_4 INSERT into ca-8..2. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Red team exercises extend the objectives of penetration testing by examining the security posture of organizations and their ability to implement effective cyber defenses. As such, red team exercises reflect simulated adversarial attempts to compromise organizational mission/business functions and provide a comprehensive assessment of the security state of information systems and organizations. Simulated adversarial attempts to compromise organizational missions/business functions and the information systems that support those missions/functions may include technology-focused attacks (e.g., interactions with hardware, software, or firmware components and/or mission/business processes) and social engineering-based attacks (e.g., interactions via email, telephone, shoulder surfing, or personal conversations). While penetration testing may be largely laboratory-based testing, organizations use red team exercises to provide more comprehensive assessments that reflect real-world conditions. Red team exercises can be used to improve security awareness and training and to assess levels of security control effectiveness.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Security assessment and authorization policy
procedures addressing penetration testing
procedures addressing red team exercises
security plan
security assessment plan
results of red team exercise
penetration test report
security assessment report
rules of engagement
security assessment evidence
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with security assessment responsibilities
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Automated mechanisms supporting employment of red team exercises
References: None
CA-9 INTERNAL SYSTEM CONNECTIONS
Label: INSERT into ca-9_smt_a (CA-9a.)
Parameter: ca-9_prm_1 organization-defined information system components or classes of components
Control
|
The organization:
|
Supplemental guidance
This control applies to connections between organizational information systems and (separate) constituent system components (i.e., intra-system connections) including, for example, system connections with mobile devices, notebook/desktop computers, printers, copiers, facsimile machines, scanners, sensors, and servers. Instead of authorizing each individual internal connection, organizations can authorize internal connections for a class of components with common characteristics and/or configurations, for example, all digital printers, scanners, and copiers with a specified processing, storage, and transmission capability or all smart phones with a specific baseline configuration.
cf AC-4: INFORMATION FLOW ENFORCEMENT
cf AC-19: ACCESS CONTROL FOR MOBILE DEVICES
cf CA-7: CONTINUOUS MONITORING
cf CM-2: BASELINE CONFIGURATION
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Access control policy
procedures addressing information system connections
system and communications protection policy
security plan
information system design documentation
information system configuration settings and associated documentation
list of components or classes of components authorized as internal system connections
security assessment report
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibility for developing, implementing, or authorizing internal system connections
organizational personnel with information security responsibilities
Control enhancements
CA-9 (1) SECURITY COMPLIANCE CHECKS
Control
|
The information system performs security compliance checks on constituent system components prior to the establishment of the internal connection. |
Supplemental guidance
Security compliance checks may include, for example, verification of the relevant baseline configuration.
Objective
|
Determine if the information system performs security compliance checks on constituent system components prior to the establishment of the internal connection. |
Assessment: EXAMINE
Access control policy
procedures addressing information system connections
system and communications protection policy
security plan
information system design documentation
information system configuration settings and associated documentation
list of components or classes of components authorized as internal system connections
security assessment report
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibility for developing, implementing, or authorizing internal system connections
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms supporting compliance checks
References: None
CONFIGURATION MANAGEMENT
CM-1 CONFIGURATION MANAGEMENT POLICY AND PROCEDURES
Label: INSERT into cm-1_smt_a (CM-1a.)
Parameter: cm-1_prm_1 organization-defined personnel or roles
Label: INSERT into cm-1_smt_b.1 (CM-1b.1.)
Parameter: cm-1_prm_2 organization-defined frequency
Label: INSERT into cm-1_smt_b.2 (CM-1b.2.)
Parameter: cm-1_prm_3 organization-defined frequency
Control
|
The organization:
|
Supplemental guidance
This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the CM family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Configuration management policy and procedures
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with configuration management responsibilities
organizational personnel with information security responsibilities
system/network administrators
CM-2 BASELINE CONFIGURATION
Control
|
The organization develops, documents, and maintains under configuration control, a current baseline configuration of the information system. |
Supplemental guidance
This control establishes baseline configurations for information systems and system components including communications and connectivity-related aspects of systems. Baseline configurations are documented, formally reviewed and agreed-upon sets of specifications for information systems or configuration items within those systems. Baseline configurations serve as a basis for future builds, releases, and/or changes to information systems. Baseline configurations include information about information system components (e.g., standard software packages installed on workstations, notebook computers, servers, network components, or mobile devices; current version numbers and patch information on operating systems and applications; and configuration settings/parameters), network topology, and the logical placement of those components within the system architecture. Maintaining baseline configurations requires creating new baselines as organizational information systems change over time. Baseline configurations of information systems reflect the current enterprise architecture.
cf CM-3: CONFIGURATION CHANGE CONTROL
cf CM-6: CONFIGURATION SETTINGS
cf CM-8: INFORMATION SYSTEM COMPONENT INVENTORY
cf CM-9: CONFIGURATION MANAGEMENT PLAN
cf SA-10: DEVELOPER CONFIGURATION MANAGEMENT
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Configuration management policy
procedures addressing the baseline configuration of the information system
configuration management plan
enterprise architecture documentation
information system design documentation
information system architecture and configuration documentation
information system configuration settings and associated documentation
change control records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with configuration management responsibilities
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Organizational processes for managing baseline configurations
automated mechanisms supporting configuration control of the baseline configuration
Control enhancements
CM-2 (1) REVIEWS AND UPDATES
Label: INSERT into cm-2..1._smt_a (CM-2 (1)(a))
Parameter: cm-2_prm_1 organization-defined frequency
Label: INSERT into cm-2..1._smt_b (CM-2 (1)(b))
Parameter: cm-2_prm_2 Assignment organization-defined circumstances
Control
|
The organization reviews and updates the baseline configuration of the information system:
|
Supplemental guidance
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Configuration management policy
configuration management plan
procedures addressing the baseline configuration of the information system
procedures addressing information system component installations and upgrades
information system architecture and configuration documentation
information system configuration settings and associated documentation
records of information system baseline configuration reviews and updates
information system component installations/upgrades and associated records
change control records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with configuration management responsibilities
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Organizational processes for managing baseline configurations
automated mechanisms supporting review and update of the baseline configuration
CM-2 (2) AUTOMATION SUPPORT FOR ACCURACY / CURRENCY
Control
|
The organization employs automated mechanisms to maintain an up-to-date, complete, accurate, and readily available baseline configuration of the information system. |
Supplemental guidance
Automated mechanisms that help organizations maintain consistent baseline configurations for information systems include, for example, hardware and software inventory tools, configuration management tools, and network management tools. Such tools can be deployed and/or allocated as common controls, at the information system level, or at the operating system or component level (e.g., on workstations, servers, notebook computers, network components, or mobile devices). Tools can be used, for example, to track version numbers on operating system applications, types of software installed, and current patch levels. This control enhancement can be satisfied by the implementation of CM-8 (2) for organizations that choose to combine information system component inventory and baseline configuration activities.
Objectives
|
Determine if the organization employs automated mechanisms to maintain:
|
Assessment: EXAMINE
Configuration management policy
procedures addressing the baseline configuration of the information system
configuration management plan
information system design documentation
information system architecture and configuration documentation
information system configuration settings and associated documentation
configuration change control records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with configuration management responsibilities
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Organizational processes for managing baseline configurations
automated mechanisms implementing baseline configuration maintenance
CM-2 (3) RETENTION OF PREVIOUS CONFIGURATIONS
Label: INSERT into cm-2..3.
Parameter: cm-2_prm_3 organization-defined previous versions of baseline configurations of the information system
Control
|
The organization retains cm-2_prm_3 INSERT into cm-2..3. [NO PARAMETER VALUE GIVEN] to support rollback. |
Supplemental guidance
Retaining previous versions of baseline configurations to support rollback may include, for example, hardware, software, firmware, configuration files, and configuration records.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Configuration management policy
procedures addressing the baseline configuration of the information system
configuration management plan
information system architecture and configuration documentation
information system configuration settings and associated documentation
copies of previous baseline configuration versions
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with configuration management responsibilities
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Organizational processes for managing baseline configurations
CM-2 (4) UNAUTHORIZED SOFTWARE
Control
|
Withdrawn: Incorporated into CM-7. |
CM-2 (5) AUTHORIZED SOFTWARE
Control
|
Withdrawn: Incorporated into CM-7. |
CM-2 (6) DEVELOPMENT AND TEST ENVIRONMENTS
Control
|
The organization maintains a baseline configuration for information system development and test environments that is managed separately from the operational baseline configuration. |
Supplemental guidance
Establishing separate baseline configurations for development, testing, and operational environments helps protect information systems from unplanned/unexpected events related to development and testing activities. Separate baseline configurations allow organizations to apply the configuration management that is most appropriate for each type of configuration. For example, management of operational configurations typically emphasizes the need for stability, while management of development/test configurations requires greater flexibility. Configurations in the test environment mirror the configurations in the operational environment to the extent practicable so that the results of the testing are representative of the proposed changes to the operational systems. This control enhancement requires separate configurations but not necessarily separate physical environments.
cf CM-4: SECURITY IMPACT ANALYSIS
Objective
|
Determine if the organization maintains a baseline configuration for information system development and test environments that is managed separately from the operational baseline configuration. |
Assessment: EXAMINE
Configuration management policy
procedures addressing the baseline configuration of the information system
configuration management plan
information system design documentation
information system architecture and configuration documentation
information system configuration settings and associated documentation
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with configuration management responsibilities
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Organizational processes for managing baseline configurations
automated mechanisms implementing separate baseline configurations for development, test, and operational environments
CM-2 (7) CONFIGURE SYSTEMS, COMPONENTS, OR DEVICES FOR HIGH-RISK AREAS
Label: INSERT into cm-2..7._smt_a (CM-2 (7)(a))
Parameter: cm-2_prm_4 organization-defined information systems, system components, or devices
Label: INSERT into cm-2..7._smt_a (CM-2 (7)(a))
Parameter: cm-2_prm_5 organization-defined configurations
Label: INSERT into cm-2..7._smt_b (CM-2 (7)(b))
Parameter: cm-2_prm_6 organization-defined security safeguards
Control
|
The organization:
|
Supplemental guidance
When it is known that information systems, system components, or devices (e.g., notebook computers, mobile devices) will be located in high-risk areas, additional security controls may be implemented to counter the greater threat in such areas coupled with the lack of physical security relative to organizational-controlled areas. For example, organizational policies and procedures for notebook computers used by individuals departing on and returning from travel include, for example, determining which locations are of concern, defining required configurations for the devices, ensuring that the devices are configured as intended before travel is initiated, and applying specific safeguards to the device after travel is completed. Specially configured notebook computers include, for example, computers with sanitized hard drives, limited applications, and additional hardening (e.g., more stringent configuration settings). Specified safeguards applied to mobile devices upon return from travel include, for example, examining the device for signs of physical tampering and purging/reimaging the hard disk drive. Protecting information residing on mobile devices is covered in the media protection family.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Configuration management policy
configuration management plan
procedures addressing the baseline configuration of the information system
procedures addressing information system component installations and upgrades
information system architecture and configuration documentation
information system configuration settings and associated documentation
records of information system baseline configuration reviews and updates
information system component installations/upgrades and associated records
change control records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with configuration management responsibilities
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Organizational processes for managing baseline configurations
References
CM-3 CONFIGURATION CHANGE CONTROL
Label: INSERT into cm-3_smt_e (CM-3e.)
Parameter: cm-3_prm_1 organization-defined time period
Label: INSERT into cm-3_smt_g (CM-3g.)
Parameter: cm-3_prm_2 organization-defined configuration change control element (e.g., committee, board)
Label: SELECT for { ancestor-or-self::*[@id][1]/@id }
Parameter: cm-3_prm_3 Insertion into CM-3g.
cm-3_prm_4 INSERT into cm-3_smt_g (CM-3g.) [NO PARAMETER VALUE GIVEN]
cm-3_prm_5 INSERT into cm-3_smt_g (CM-3g.) [NO PARAMETER VALUE GIVEN]
Label: INSERT into cm-3_smt_g (CM-3g.)
Parameter: cm-3_prm_4 organization-defined frequency
Label: INSERT into cm-3_smt_g (CM-3g.)
Parameter: cm-3_prm_5 organization-defined configuration change conditions
Control
|
The organization:
|
Supplemental guidance
Configuration change controls for organizational information systems involve the systematic proposal, justification, implementation, testing, review, and disposition of changes to the systems, including system upgrades and modifications. Configuration change control includes changes to baseline configurations for components and configuration items of information systems, changes to configuration settings for information technology products (e.g., operating systems, applications, firewalls, routers, and mobile devices), unscheduled/unauthorized changes, and changes to remediate vulnerabilities. Typical processes for managing configuration changes to information systems include, for example, Configuration Control Boards that approve proposed changes to systems. For new development information systems or systems undergoing major upgrades, organizations consider including representatives from development organizations on the Configuration Control Boards. Auditing of changes includes activities before and after changes are made to organizational information systems and the auditing activities required to implement such changes.
cf CA-7: CONTINUOUS MONITORING
cf CM-2: BASELINE CONFIGURATION
cf CM-4: SECURITY IMPACT ANALYSIS
cf CM-5: ACCESS RESTRICTIONS FOR CHANGE
cf CM-6: CONFIGURATION SETTINGS
cf CM-9: CONFIGURATION MANAGEMENT PLAN
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Configuration management policy
procedures addressing information system configuration change control
configuration management plan
information system architecture and configuration documentation
security plan
change control records
information system audit records
change control audit and review reports
agenda /minutes from configuration change control oversight meetings
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with configuration change control responsibilities
organizational personnel with information security responsibilities
system/network administrators
members of change control board or similar
Assessment: TEST
Organizational processes for configuration change control
automated mechanisms that implement configuration change control
Control enhancements
CM-3 (1) AUTOMATED DOCUMENT / NOTIFICATION / PROHIBITION OF CHANGES
Label: INSERT into cm-3..1._smt_b (CM-3 (1)(b))
Parameter: cm-3_prm_6 organized-defined approval authorities
Label: INSERT into cm-3..1._smt_c (CM-3 (1)(c))
Parameter: cm-3_prm_7 organization-defined time period
Label: INSERT into cm-3..1._smt_f (CM-3 (1)(f))
Parameter: cm-3_prm_8 organization-defined personnel
Control
|
The organization employs automated mechanisms to:
|
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Configuration management policy
procedures addressing information system configuration change control
configuration management plan
information system design documentation
information system architecture and configuration documentation
automated configuration control mechanisms
information system configuration settings and associated documentation
change control records
information system audit records
change approval requests
change approvals
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with configuration change control responsibilities
organizational personnel with information security responsibilities
system/network administrators
system developers
Assessment: TEST
Organizational processes for configuration change control
automated mechanisms implementing configuration change control activities
CM-3 (2) TEST / VALIDATE / DOCUMENT CHANGES
Control
|
The organization tests, validates, and documents changes to the information system before implementing the changes on the operational system. |
Supplemental guidance
Changes to information systems include modifications to hardware, software, or firmware components and configuration settings defined in CM-6. Organizations ensure that testing does not interfere with information system operations. Individuals/groups conducting tests understand organizational security policies and procedures, information system security policies and procedures, and the specific health, safety, and environmental risks associated with particular facilities/processes. Operational systems may need to be taken off-line, or replicated to the extent feasible, before testing can be conducted. If information systems must be taken off-line for testing, the tests are scheduled to occur during planned system outages whenever possible. If testing cannot be conducted on operational systems, organizations employ compensating controls (e.g., testing on replicated systems).
Objectives
|
Determine if the organization, before implementing changes on the operational system:
|
Assessment: EXAMINE
Configuration management policy
configuration management plan
procedures addressing information system configuration change control
information system design documentation
information system architecture and configuration documentation
information system configuration settings and associated documentation
test records
validation records
change control records
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with configuration change control responsibilities
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Organizational processes for configuration change control
automated mechanisms supporting and/or implementing testing, validating, and documenting information system changes
CM-3 (3) AUTOMATED CHANGE IMPLEMENTATION
Control
|
The organization employs automated mechanisms to implement changes to the current information system baseline and deploys the updated baseline across the installed base. |
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Configuration management policy
configuration management plan
procedures addressing information system configuration change control
information system design documentation
information system architecture and configuration documentation
automated configuration control mechanisms
change control records
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with configuration change control responsibilities
organizational personnel with information security responsibilities
system/network administrators
system developers
Assessment: TEST
Organizational processes for configuration change control
automated mechanisms implementing changes to current information system baseline
CM-3 (4) SECURITY REPRESENTATIVE
Label: INSERT into cm-3..4.
Parameter: cm-3_prm_9 organization-defined configuration change control element
Control
|
The organization requires an information security representative to be a member of the cm-3_prm_9 INSERT into cm-3..4. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Information security representatives can include, for example, senior agency information security officers, information system security officers, or information system security managers. Representation by personnel with information security expertise is important because changes to information system configurations can have unintended side effects, some of which may be security-relevant. Detecting such changes early in the process can help avoid unintended, negative consequences that could ultimately affect the security state of organizational information systems. The configuration change control element in this control enhancement reflects the change control elements defined by organizations in CM-3.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Configuration management policy
procedures addressing information system configuration change control
configuration management plan
security plan
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with configuration change control responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for configuration change control
CM-3 (5) AUTOMATED SECURITY RESPONSE
Label: INSERT into cm-3..5.
Parameter: cm-3_prm_10 organization-defined security responses
Control
|
The information system implements cm-3_prm_10 INSERT into cm-3..5. [NO PARAMETER VALUE GIVEN] automatically if baseline configurations are changed in an unauthorized manner. |
Supplemental guidance
Security responses include, for example, halting information system processing, halting selected system functions, or issuing alerts/notifications to organizational personnel when there is an unauthorized modification of a configuration item.
Objectives
|
Determine if:
|
Assessment: EXAMINE
Configuration management policy
procedures addressing information system configuration change control
configuration management plan
security plan
information system design documentation
information system architecture and configuration documentation
information system configuration settings and associated documentation
alerts/notifications of unauthorized baseline configuration changes
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with configuration change control responsibilities
organizational personnel with information security responsibilities
system/network administrators
system developers
Assessment: TEST
Organizational processes for configuration change control
automated mechanisms implementing security responses to changes to the baseline configurations
CM-3 (6) CRYPTOGRAPHY MANAGEMENT
Label: INSERT into cm-3..6.
Parameter: cm-3_prm_11 organization-defined security safeguards
Control
|
The organization ensures that cryptographic mechanisms used to provide cm-3_prm_11 INSERT into cm-3..6. [NO PARAMETER VALUE GIVEN] are under configuration management. |
Supplemental guidance
Regardless of the cryptographic means employed (e.g., public key, private key, shared secrets), organizations ensure that there are processes and procedures in place to effectively manage those means. For example, if devices use certificates as a basis for identification and authentication, there needs to be a process in place to address the expiration of those certificates.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Configuration management policy
procedures addressing information system configuration change control
configuration management plan
security plan
information system design documentation
information system architecture and configuration documentation
information system configuration settings and associated documentation
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with configuration change control responsibilities
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Organizational processes for configuration change control
cryptographic mechanisms implementing organizational security safeguards
References
CM-4 SECURITY IMPACT ANALYSIS
Control
|
The organization analyzes changes to the information system to determine potential security impacts prior to change implementation. |
Supplemental guidance
Organizational personnel with information security responsibilities (e.g., Information System Administrators, Information System Security Officers, Information System Security Managers, and Information System Security Engineers) conduct security impact analyses. Individuals conducting security impact analyses possess the necessary skills/technical expertise to analyze the changes to information systems and the associated security ramifications. Security impact analysis may include, for example, reviewing security plans to understand security control requirements and reviewing system design documentation to understand control implementation and how specific changes might affect the controls. Security impact analyses may also include assessments of risk to better understand the impact of the changes and to determine if additional security controls are required. Security impact analyses are scaled in accordance with the security categories of the information systems.
cf CA-7: CONTINUOUS MONITORING
cf CM-3: CONFIGURATION CHANGE CONTROL
cf CM-9: CONFIGURATION MANAGEMENT PLAN
cf SA-5: INFORMATION SYSTEM DOCUMENTATION
Objective
|
Determine if the organization analyzes changes to the information system to determine potential security impacts prior to change implementation. |
Assessment: EXAMINE
Configuration management policy
procedures addressing security impact analysis for changes to the information system
configuration management plan
security impact analysis documentation
analysis tools and associated outputs
change control records
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibility for conducting security impact analysis
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Organizational processes for security impact analysis
Control enhancements
CM-4 (1) SEPARATE TEST ENVIRONMENTS
Control
|
The organization analyzes changes to the information system in a separate test environment before implementation in an operational environment, looking for security impacts due to flaws, weaknesses, incompatibility, or intentional malice. |
Supplemental guidance
Separate test environment in this context means an environment that is physically or logically isolated and distinct from the operational environment. The separation is sufficient to ensure that activities in the test environment do not impact activities in the operational environment, and information in the operational environment is not inadvertently transmitted to the test environment. Separate environments can be achieved by physical or logical means. If physically separate test environments are not used, organizations determine the strength of mechanism required when implementing logical separation (e.g., separation achieved through virtual machines).
cf SA-11: DEVELOPER SECURITY TESTING AND EVALUATION
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Configuration management policy
procedures addressing security impact analysis for changes to the information system
configuration management plan
security impact analysis documentation
analysis tools and associated outputs information system design documentation
information system architecture and configuration documentation
change control records
information system audit records
documentation evidence of separate test and operational environments
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibility for conducting security impact analysis
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Organizational processes for security impact analysis
automated mechanisms supporting and/or implementing security impact analysis of changes
CM-4 (2) VERIFICATION OF SECURITY FUNCTIONS
Control
|
The organization, after the information system is changed, checks the security functions to verify that the functions are implemented correctly, operating as intended, and producing the desired outcome with regard to meeting the security requirements for the system. |
Supplemental guidance
Implementation is this context refers to installing changed code in the operational information system.
Objectives
|
Determine if the organization, after the information system is changed, checks the security functions to verify that the functions are:
|
Assessment: EXAMINE
Configuration management policy
procedures addressing security impact analysis for changes to the information system
configuration management plan
security impact analysis documentation
analysis tools and associated outputs
change control records
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibility for conducting security impact analysis
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Organizational processes for security impact analysis
automated mechanisms supporting and/or implementing verification of security functions
References
CM-5 ACCESS RESTRICTIONS FOR CHANGE
Control
|
The organization defines, documents, approves, and enforces physical and logical access restrictions associated with changes to the information system. |
Supplemental guidance
Any changes to the hardware, software, and/or firmware components of information systems can potentially have significant effects on the overall security of the systems. Therefore, organizations permit only qualified and authorized individuals to access information systems for purposes of initiating changes, including upgrades and modifications. Organizations maintain records of access to ensure that configuration change control is implemented and to support after-the-fact actions should organizations discover any unauthorized changes. Access restrictions for change also include software libraries. Access restrictions include, for example, physical and logical access controls (see AC-3 and PE-3), workflow automation, media libraries, abstract layers (e.g., changes implemented into third-party interfaces rather than directly into information systems), and change windows (e.g., changes occur only during specified times, making unauthorized changes easy to discover).
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Configuration management policy
procedures addressing access restrictions for changes to the information system
configuration management plan
information system design documentation
information system architecture and configuration documentation
information system configuration settings and associated documentation
logical access approvals
physical access approvals
access credentials
change control records
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with logical access control responsibilities
organizational personnel with physical access control responsibilities
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Organizational processes for managing access restrictions to change
automated mechanisms supporting/implementing/enforcing access restrictions associated with changes to the information system
Control enhancements
CM-5 (1) AUTOMATED ACCESS ENFORCEMENT / AUDITING
Control
|
The information system enforces access restrictions and supports auditing of the enforcement actions. |
Supplemental guidance
cf AU-6: AUDIT REVIEW, ANALYSIS, AND REPORTING
Objectives
|
Determine if the information system:
|
Assessment: EXAMINE
Configuration management policy
procedures addressing access restrictions for changes to the information system
information system design documentation
information system architecture and configuration documentation
information system configuration settings and associated documentation
change control records
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information security responsibilities
system/network administrators
system developers
Assessment: TEST
Organizational processes for managing access restrictions to change
automated mechanisms implementing enforcement of access restrictions for changes to the information system
automated mechanisms supporting auditing of enforcement actions
CM-5 (2) REVIEW SYSTEM CHANGES
Label: INSERT into cm-5..2.
Parameter: cm-5_prm_1 organization-defined frequency
Label: INSERT into cm-5..2.
Parameter: cm-5_prm_2 organization-defined circumstances
Control
|
The organization reviews information system changes cm-5_prm_1 INSERT into cm-5..2. [NO PARAMETER VALUE GIVEN] and cm-5_prm_2 INSERT into cm-5..2. [NO PARAMETER VALUE GIVEN] to determine whether unauthorized changes have occurred. |
Supplemental guidance
Indications that warrant review of information system changes and the specific circumstances justifying such reviews may be obtained from activities carried out by organizations during the configuration change process.
cf AU-6: AUDIT REVIEW, ANALYSIS, AND REPORTING
cf AU-7: AUDIT REDUCTION AND REPORT GENERATION
cf CM-3: CONFIGURATION CHANGE CONTROL
cf CM-5: ACCESS RESTRICTIONS FOR CHANGE
Objectives
|
Determine if the organization, in an effort to ascertain whether unauthorized changes have occurred:
|
Assessment: EXAMINE
Configuration management policy
procedures addressing access restrictions for changes to the information system
configuration management plan
security plan
reviews of information system changes
audit and review reports
change control records
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Organizational processes for managing access restrictions to change
automated mechanisms supporting/implementing information system reviews to determine whether unauthorized changes have occurred
CM-5 (3) SIGNED COMPONENTS
Label: INSERT into cm-5..3.
Parameter: cm-5_prm_3 organization-defined software and firmware components
Control
|
The information system prevents the installation of cm-5_prm_3 INSERT into cm-5..3. [NO PARAMETER VALUE GIVEN] without verification that the component has been digitally signed using a certificate that is recognized and approved by the organization. |
Supplemental guidance
Software and firmware components prevented from installation unless signed with recognized and approved certificates include, for example, software and firmware version updates, patches, service packs, device drivers, and basic input output system (BIOS) updates. Organizations can identify applicable software and firmware components by type, by specific items, or a combination of both. Digital signatures and organizational verification of such signatures, is a method of code authentication.
Objectives
|
Determine if:
|
Assessment: EXAMINE
Configuration management policy
procedures addressing access restrictions for changes to the information system
configuration management plan
security plan
list of software and firmware components to be prohibited from installation without a recognized and approved certificate
information system design documentation
information system architecture and configuration documentation
information system configuration settings and associated documentation
change control records
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information security responsibilities
system/network administrators
system developers
Assessment: TEST
Organizational processes for managing access restrictions to change
automated mechanisms preventing installation of software and firmware components not signed with an organization-recognized and approved certificate
CM-5 (4) DUAL AUTHORIZATION
Label: INSERT into cm-5..4.
Parameter: cm-5_prm_4 organization-defined information system components and system-level information
Control
|
The organization enforces dual authorization for implementing changes to cm-5_prm_4 INSERT into cm-5..4. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Organizations employ dual authorization to ensure that any changes to selected information system components and information cannot occur unless two qualified individuals implement such changes. The two individuals possess sufficient skills/expertise to determine if the proposed changes are correct implementations of approved changes. Dual authorization may also be known as two-person control.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Configuration management policy
procedures addressing access restrictions for changes to the information system
configuration management plan
security plan
information system design documentation
information system architecture and configuration documentation
information system configuration settings and associated documentation
change control records
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with dual authorization enforcement responsibilities for implementing information system changes
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Organizational processes for managing access restrictions to change
automated mechanisms implementing dual authorization enforcement
CM-5 (5) LIMIT PRODUCTION / OPERATIONAL PRIVILEGES
Label: INSERT into cm-5..5._smt_b (CM-5 (5)(b))
Parameter: cm-5_prm_5 organization-defined frequency
Control
|
The organization:
|
Supplemental guidance
In many organizations, information systems support multiple core missions/business functions. Limiting privileges to change information system components with respect to operational systems is necessary because changes to a particular information system component may have far-reaching effects on mission/business processes supported by the system where the component resides. The complex, many-to-many relationships between systems and mission/business processes are in some cases, unknown to developers.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Configuration management policy
procedures addressing access restrictions for changes to the information system
configuration management plan
security plan
information system design documentation
information system architecture and configuration documentation
information system configuration settings and associated documentation
user privilege reviews
user privilege recertifications
change control records
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Organizational processes for managing access restrictions to change
automated mechanisms supporting and/or implementing access restrictions for change
CM-5 (6) LIMIT LIBRARY PRIVILEGES
Control
|
The organization limits privileges to change software resident within software libraries. |
Objective
|
Determine if the organization limits privileges to change software resident within software libraries. |
Assessment: EXAMINE
Configuration management policy
procedures addressing access restrictions for changes to the information system
configuration management plan
information system design documentation
information system architecture and configuration documentation
information system configuration settings and associated documentation
change control records
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Organizational processes for managing access restrictions to change
automated mechanisms supporting and/or implementing access restrictions for change
CM-5 (7) AUTOMATIC IMPLEMENTATION OF SECURITY SAFEGUARDS
cf SI-7: SOFTWARE, FIRMWARE, AND INFORMATION INTEGRITY
Control
|
Withdrawn: Incorporated into SI-7. |
References: None
CM-6 CONFIGURATION SETTINGS
Label: INSERT into cm-6_smt_a (CM-6a.)
Parameter: cm-6_prm_1 organization-defined security configuration checklists
Label: INSERT into cm-6_smt_c (CM-6c.)
Parameter: cm-6_prm_2 organization-defined information system components
Label: INSERT into cm-6_smt_c (CM-6c.)
Parameter: cm-6_prm_3 organization-defined operational requirements
Control
|
The organization:
|
Supplemental guidance
Configuration settings are the set of parameters that can be changed in hardware, software, or firmware components of the information system that affect the security posture and/or functionality of the system. Information technology products for which security-related configuration settings can be defined include, for example, mainframe computers, servers (e.g., database, electronic mail, authentication, web, proxy, file, domain name), workstations, input/output devices (e.g., scanners, copiers, and printers), network components (e.g., firewalls, routers, gateways, voice and data switches, wireless access points, network appliances, sensors), operating systems, middleware, and applications. Security-related parameters are those parameters impacting the security state of information systems including the parameters required to satisfy other security control requirements. Security-related parameters include, for example: (i) registry settings; (ii) account, file, directory permission settings; and (iii) settings for functions, ports, protocols, services, and remote connections. Organizations establish organization-wide configuration settings and subsequently derive specific settings for information systems. The established settings become part of the systems configuration baseline. Common secure configurations (also referred to as security configuration checklists, lockdown and hardening guides, security reference guides, security technical implementation guides) provide recognized, standardized, and established benchmarks that stipulate secure configuration settings for specific information technology platforms/products and instructions for configuring those information system components to meet operational requirements. Common secure configurations can be developed by a variety of organizations including, for example, information technology product developers, manufacturers, vendors, consortia, academia, industry, federal agencies, and other organizations in the public and private sectors. Common secure configurations include the United States Government Configuration Baseline (USGCB) which affects the implementation of CM-6 and other controls such as AC-19 and CM-7. The Security Content Automation Protocol (SCAP) and the defined standards within the protocol (e.g., Common Configuration Enumeration) provide an effective method to uniquely identify, track, and control configuration settings. OMB establishes federal policy on configuration requirements for federal information systems.
cf AC-19: ACCESS CONTROL FOR MOBILE DEVICES
cf CM-2: BASELINE CONFIGURATION
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Configuration management policy
procedures addressing configuration settings for the information system
configuration management plan
security plan
information system design documentation
information system configuration settings and associated documentation
security configuration checklists
evidence supporting approved deviations from established configuration settings
change control records
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with security configuration management responsibilities
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Organizational processes for managing configuration settings
automated mechanisms that implement, monitor, and/or control information system configuration settings
automated mechanisms that identify and/or document deviations from established configuration settings
Control enhancements
CM-6 (1) AUTOMATED CENTRAL MANAGEMENT / APPLICATION / VERIFICATION
Label: INSERT into cm-6..1.
Parameter: cm-6_prm_4 organization-defined information system components
Control
|
The organization employs automated mechanisms to centrally manage, apply, and verify configuration settings for cm-6_prm_4 INSERT into cm-6..1. [NO PARAMETER VALUE GIVEN] . |
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Configuration management policy
procedures addressing configuration settings for the information system
configuration management plan
information system design documentation
information system configuration settings and associated documentation
security configuration checklists
change control records
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with security configuration management responsibilities
organizational personnel with information security responsibilities
system/network administrators
system developers
Assessment: TEST
Organizational processes for managing configuration settings
automated mechanisms implemented to centrally manage, apply, and verify information system configuration settings
CM-6 (2) RESPOND TO UNAUTHORIZED CHANGES
Label: INSERT into cm-6..2.
Parameter: cm-6_prm_5 organization-defined security safeguards
Label: INSERT into cm-6..2.
Parameter: cm-6_prm_6 organization-defined configuration settings
Control
|
The organization employs cm-6_prm_5 INSERT into cm-6..2. [NO PARAMETER VALUE GIVEN] to respond to unauthorized changes to cm-6_prm_6 INSERT into cm-6..2. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Responses to unauthorized changes to configuration settings can include, for example, alerting designated organizational personnel, restoring established configuration settings, or in extreme cases, halting affected information system processing.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Configuration management policy
procedures addressing configuration settings for the information system
configuration management plan
security plan
information system design documentation
information system configuration settings and associated documentation
alerts/notifications of unauthorized changes to information system configuration settings
documented responses to unauthorized changes to information system configuration settings
change control records
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with security configuration management responsibilities
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Organizational process for responding to unauthorized changes to information system configuration settings
automated mechanisms supporting and/or implementing security safeguards for response to unauthorized changes
CM-6 (3) UNAUTHORIZED CHANGE DETECTION
cf SI-7: SOFTWARE, FIRMWARE, AND INFORMATION INTEGRITY
Control
|
Withdrawn: Incorporated into SI-7. |
CM-6 (4) CONFORMANCE DEMONSTRATION
cf CM-4: SECURITY IMPACT ANALYSIS
Control
|
Withdrawn: Incorporated into CM-4. |
CM-7 LEAST FUNCTIONALITY
Label: INSERT into cm-7_smt_b (CM-7b.)
Parameter: cm-7_prm_1 organization-defined prohibited or restricted functions, ports, protocols, and/or services
Control
|
The organization:
|
Supplemental guidance
Information systems can provide a wide variety of functions and services. Some of the functions and services, provided by default, may not be necessary to support essential organizational operations (e.g., key missions, functions). Additionally, it is sometimes convenient to provide multiple services from single information system components, but doing so increases risk over limiting the services provided by any one component. Where feasible, organizations limit component functionality to a single function per device (e.g., email servers or web servers, but not both). Organizations review functions and services provided by information systems or individual components of information systems, to determine which functions and services are candidates for elimination (e.g., Voice Over Internet Protocol, Instant Messaging, auto-execute, and file sharing). Organizations consider disabling unused or unnecessary physical and logical ports/protocols (e.g., Universal Serial Bus, File Transfer Protocol, and Hyper Text Transfer Protocol) on information systems to prevent unauthorized connection of devices, unauthorized transfer of information, or unauthorized tunneling. Organizations can utilize network scanning tools, intrusion detection and prevention systems, and end-point protections such as firewalls and host-based intrusion detection systems to identify and prevent the use of prohibited functions, ports, protocols, and services.
cf CM-2: BASELINE CONFIGURATION
cf RA-5: VULNERABILITY SCANNING
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Configuration management policy
configuration management plan
procedures addressing least functionality in the information system
security plan
information system design documentation
information system configuration settings and associated documentation
security configuration checklists
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with security configuration management responsibilities
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Organizational processes prohibiting or restricting functions, ports, protocols, and/or services
automated mechanisms implementing restrictions or prohibition of functions, ports, protocols, and/or services
Control enhancements
CM-7 (1) PERIODIC REVIEW
Label: INSERT into cm-7..1._smt_a (CM-7 (1)(a))
Parameter: cm-7_prm_2 organization-defined frequency
Label: INSERT into cm-7..1._smt_b (CM-7 (1)(b))
Parameter: cm-7_prm_3 organization-defined functions, ports, protocols, and services within the information system deemed to be unnecessary and/or nonsecure
Control
|
The organization:
|
Supplemental guidance
The organization can either make a determination of the relative security of the function, port, protocol, and/or service or base the security decision on the assessment of other entities. Bluetooth, FTP, and peer-to-peer networking are examples of less than secure protocols.
cf IA-2: IDENTIFICATION AND AUTHENTICATION (ORGANIZATIONAL USERS)
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Configuration management policy
procedures addressing least functionality in the information system
configuration management plan
security plan
information system design documentation
information system configuration settings and associated documentation
security configuration checklists
documented reviews of functions, ports, protocols, and/or services
change control records
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibilities for reviewing functions, ports, protocols, and services on the information system
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Organizational processes for reviewing/disabling nonsecure functions, ports, protocols, and/or services
automated mechanisms implementing review and disabling of nonsecure functions, ports, protocols, and/or services
CM-7 (2) PREVENT PROGRAM EXECUTION
Label: SELECT for { ancestor-or-self::*[@id][1]/@id }
cm-7_prm_5 INSERT into cm-7..2. [NO PARAMETER VALUE GIVEN]
rules authorizing the terms and conditions of software program usage
Label: INSERT into cm-7..2.
Parameter: cm-7_prm_5 organization-defined policies regarding software program usage and restrictions
Control
|
The information system prevents program execution in accordance with cm-7_prm_4 SELECT for { ancestor-or-self::*[@id][1]/@id } rules authorizing the terms and conditions of software program usage [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Objectives
|
Determine if:
|
Assessment: EXAMINE
Configuration management policy
procedures addressing least functionality in the information system
configuration management plan
security plan
information system design documentation
specifications for preventing software program execution
information system configuration settings and associated documentation
change control records
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information security responsibilities
system/network administrators
system developers
Assessment: TEST
Organizational processes preventing program execution on the information system
organizational processes for software program usage and restrictions
automated mechanisms preventing program execution on the information system
automated mechanisms supporting and/or implementing software program usage and restrictions
CM-7 (3) REGISTRATION COMPLIANCE
Label: INSERT into cm-7..3.
Parameter: cm-7_prm_6 organization-defined registration requirements for functions, ports, protocols, and services
Control
|
The organization ensures compliance with cm-7_prm_6 INSERT into cm-7..3. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Organizations use the registration process to manage, track, and provide oversight for information systems and implemented functions, ports, protocols, and services.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Configuration management policy
procedures addressing least functionality in the information system
configuration management plan
security plan
information system configuration settings and associated documentation
audit and compliance reviews
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Organizational processes ensuring compliance with registration requirements for functions, ports, protocols, and/or services
automated mechanisms implementing compliance with registration requirements for functions, ports, protocols, and/or services
CM-7 (4) UNAUTHORIZED SOFTWARE / BLACKLISTING
Label: INSERT into cm-7..4._smt_a (CM-7 (4)(a))
Parameter: cm-7_prm_7 organization-defined software programs not authorized to execute on the information system
Label: INSERT into cm-7..4._smt_c (CM-7 (4)(c))
Parameter: cm-7_prm_8 organization-defined frequency
Control
|
The organization:
|
Supplemental guidance
The process used to identify software programs that are not authorized to execute on organizational information systems is commonly referred to as blacklisting. Organizations can implement CM-7 (5) instead of this control enhancement if whitelisting (the stronger of the two policies) is the preferred approach for restricting software program execution.
cf CM-6: CONFIGURATION SETTINGS
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Configuration management policy
procedures addressing least functionality in the information system
configuration management plan
information system design documentation
information system configuration settings and associated documentation
list of software programs not authorized to execute on the information system
security configuration checklists
review and update records associated with list of unauthorized software programs
change control records
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibilities for identifying software not authorized to execute on the information system
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Organizational process for identifying, reviewing, and updating programs not authorized to execute on the information system
organizational process for implementing blacklisting
automated mechanisms supporting and/or implementing blacklisting
CM-7 (5) AUTHORIZED SOFTWARE / WHITELISTING
Label: INSERT into cm-7..5._smt_a (CM-7 (5)(a))
Parameter: cm-7_prm_9 organization-defined software programs authorized to execute on the information system
Label: INSERT into cm-7..5._smt_c (CM-7 (5)(c))
Parameter: cm-7_prm_10 organization-defined frequency
Control
|
The organization:
|
Supplemental guidance
The process used to identify software programs that are authorized to execute on organizational information systems is commonly referred to as whitelisting. In addition to whitelisting, organizations consider verifying the integrity of white-listed software programs using, for example, cryptographic checksums, digital signatures, or hash functions. Verification of white-listed software can occur either prior to execution or at system startup.
cf CM-2: BASELINE CONFIGURATION
cf CM-6: CONFIGURATION SETTINGS
cf CM-8: INFORMATION SYSTEM COMPONENT INVENTORY
cf PM-5: INFORMATION SYSTEM INVENTORY
cf SA-10: DEVELOPER CONFIGURATION MANAGEMENT
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Configuration management policy
procedures addressing least functionality in the information system
configuration management plan
information system design documentation
information system configuration settings and associated documentation
list of software programs authorized to execute on the information system
security configuration checklists
review and update records associated with list of authorized software programs
change control records
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibilities for identifying software authorized to execute on the information system
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Organizational process for identifying, reviewing, and updating programs authorized to execute on the information system
organizational process for implementing whitelisting
automated mechanisms implementing whitelisting
References
CM-8 INFORMATION SYSTEM COMPONENT INVENTORY
Label: INSERT into cm-8_smt_a.4 (CM-8a.4.)
Parameter: cm-8_prm_1 organization-defined information deemed necessary to achieve effective information system component accountability
Label: INSERT into cm-8_smt_b (CM-8b.)
Parameter: cm-8_prm_2 organization-defined frequency
Control
|
The organization:
|
Supplemental guidance
Organizations may choose to implement centralized information system component inventories that include components from all organizational information systems. In such situations, organizations ensure that the resulting inventories include system-specific information required for proper component accountability (e.g., information system association, information system owner). Information deemed necessary for effective accountability of information system components includes, for example, hardware inventory specifications, software license information, software version numbers, component owners, and for networked components or devices, machine names and network addresses. Inventory specifications include, for example, manufacturer, device type, model, serial number, and physical location.
cf CM-2: BASELINE CONFIGURATION
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Configuration management policy
procedures addressing information system component inventory
configuration management plan
security plan
information system inventory records
inventory reviews and update records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibilities for information system component inventory
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Organizational processes for developing and documenting an inventory of information system components
automated mechanisms supporting and/or implementing the information system component inventory
Control enhancements
CM-8 (1) UPDATES DURING INSTALLATIONS / REMOVALS
Control
|
The organization updates the inventory of information system components as an integral part of component installations, removals, and information system updates. |
Objectives
|
Determine if the organization updates the inventory of information system components as an integral part of:
|
Assessment: EXAMINE
Configuration management policy
procedures addressing information system component inventory
configuration management plan
security plan
information system inventory records
inventory reviews and update records
component installation records
component removal records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibilities for updating the information system component inventory
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Organizational processes for updating inventory of information system components
automated mechanisms implementing updating of the information system component inventory
CM-8 (2) AUTOMATED MAINTENANCE
Control
|
The organization employs automated mechanisms to help maintain an up-to-date, complete, accurate, and readily available inventory of information system components. |
Supplemental guidance
Organizations maintain information system inventories to the extent feasible. Virtual machines, for example, can be difficult to monitor because such machines are not visible to the network when not in use. In such cases, organizations maintain as up-to-date, complete, and accurate an inventory as is deemed reasonable. This control enhancement can be satisfied by the implementation of CM-2 (2) for organizations that choose to combine information system component inventory and baseline configuration activities.
Objectives
|
Determine if the organization employs automated mechanisms to maintain an inventory of information system components that is:
|
Assessment: EXAMINE
Configuration management policy
configuration management plan
procedures addressing information system component inventory
information system design documentation
information system configuration settings and associated documentation
information system inventory records
change control records
information system maintenance records
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibilities for managing the automated mechanisms implementing the information system component inventory
organizational personnel with information security responsibilities
system/network administrators
system developers
Assessment: TEST
Organizational processes for maintaining the inventory of information system components
automated mechanisms implementing the information system component inventory
CM-8 (3) AUTOMATED UNAUTHORIZED COMPONENT DETECTION
Label: INSERT into cm-8..3._smt_a (CM-8 (3)(a))
Parameter: cm-8_prm_3 organization-defined frequency
Label: SELECT for { ancestor-or-self::*[@id][1]/@id }
Parameter: cm-8_prm_4 Insertion into CM-8 (3)(b)
disables network access by such components
isolates the components
notifies cm-8_prm_5 INSERT into cm-8..3._smt_b (CM-8 (3)(b)) [NO PARAMETER VALUE GIVEN]
Label: INSERT into cm-8..3._smt_b (CM-8 (3)(b))
Parameter: cm-8_prm_5 organization-defined personnel or roles
Control
|
The organization:
|
Supplemental guidance
This control enhancement is applied in addition to the monitoring for unauthorized remote connections and mobile devices. Monitoring for unauthorized system components may be accomplished on an ongoing basis or by the periodic scanning of systems for that purpose. Automated mechanisms can be implemented within information systems or in other separate devices. Isolation can be achieved, for example, by placing unauthorized information system components in separate domains or subnets or otherwise quarantining such components. This type of component isolation is commonly referred to as sandboxing.
cf AC-19: ACCESS CONTROL FOR MOBILE DEVICES
cf CA-7: CONTINUOUS MONITORING
cf SI-3: MALICIOUS CODE PROTECTION
cf SI-4: INFORMATION SYSTEM MONITORING
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Configuration management policy
procedures addressing information system component inventory
configuration management plan
security plan
information system design documentation
information system configuration settings and associated documentation
information system inventory records
alerts/notifications of unauthorized components within the information system
information system monitoring records
change control records
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibilities for managing the automated mechanisms implementing unauthorized information system component detection
organizational personnel with information security responsibilities
system/network administrators
system developers
Assessment: TEST
Organizational processes for detection of unauthorized information system components
automated mechanisms implementing the detection of unauthorized information system components
CM-8 (4) ACCOUNTABILITY INFORMATION
Label: SELECT for { ancestor-or-self::*[@id][1]/@id }
name
position
role
Control
|
The organization includes in the information system component inventory information, a means for identifying by cm-8_prm_6 SELECT for { ancestor-or-self::*[@id][1]/@id } name position role [NO PARAMETER VALUE GIVEN] , individuals responsible/accountable for administering those components. |
Supplemental guidance
Identifying individuals who are both responsible and accountable for administering information system components helps to ensure that the assigned components are properly administered and organizations can contact those individuals if some action is required (e.g., component is determined to be the source of a breach/compromise, component needs to be recalled/replaced, or component needs to be relocated).
Objectives
|
Determine if the organization includes in the information system component inventory for information system components, a means for identifying the individuals responsible and accountable for administering those components by one or more of the following:
|
Assessment: EXAMINE
Configuration management policy
procedures addressing information system component inventory
configuration management plan
security plan
information system inventory records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibilities for managing the information system component inventory
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Organizational processes for maintaining the inventory of information system components
automated mechanisms implementing the information system component inventory
CM-8 (5) NO DUPLICATE ACCOUNTING OF COMPONENTS
Control
|
The organization verifies that all components within the authorization boundary of the information system are not duplicated in other information system component inventories. |
Supplemental guidance
This control enhancement addresses the potential problem of duplicate accounting of information system components in large or complex interconnected systems.
Objective
|
Determine if the organization verifies that all components within the authorization boundary of the information system are not duplicated in other information system inventories. |
Assessment: EXAMINE
Configuration management policy
procedures addressing information system component inventory
configuration management plan
security plan
information system inventory records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system inventory responsibilities
organizational personnel with responsibilities for defining information system components within the authorization boundary of the system
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Organizational processes for maintaining the inventory of information system components
automated mechanisms implementing the information system component inventory
CM-8 (6) ASSESSED CONFIGURATIONS / APPROVED DEVIATIONS
Control
|
The organization includes assessed component configurations and any approved deviations to current deployed configurations in the information system component inventory. |
Supplemental guidance
This control enhancement focuses on configuration settings established by organizations for information system components, the specific components that have been assessed to determine compliance with the required configuration settings, and any approved deviations from established configuration settings.
Objectives
|
Determine if the organization includes in the information system component inventory:
|
Assessment: EXAMINE
Configuration management policy
procedures addressing information system component inventory
configuration management plan
security plan
information system design documentation
information system configuration settings and associated documentation
information system inventory records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with inventory management and assessment responsibilities for information system components
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Organizational processes for maintaining the inventory of information system components
automated mechanisms implementing the information system component inventory
CM-8 (7) CENTRALIZED REPOSITORY
Control
|
The organization provides a centralized repository for the inventory of information system components. |
Supplemental guidance
Organizations may choose to implement centralized information system component inventories that include components from all organizational information systems. Centralized repositories of information system component inventories provide opportunities for efficiencies in accounting for organizational hardware, software, and firmware assets. Such repositories may also help organizations rapidly identify the location and responsible individuals of system components that have been compromised, breached, or are otherwise in need of mitigation actions. Organizations ensure that the resulting centralized inventories include system-specific information required for proper component accountability (e.g., information system association, information system owner).
Objective
|
Determine if the organization provides a centralized repository for the inventory of information system components. |
Assessment: EXAMINE
Configuration management policy
procedures addressing information system component inventory
configuration management plan
information system design documentation
information system inventory repository
information system inventory records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with inventory management responsibilities for information system components
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms implementing the information system component inventory in a centralized repository
CM-8 (8) AUTOMATED LOCATION TRACKING
Control
|
The organization employs automated mechanisms to support tracking of information system components by geographic location. |
Supplemental guidance
The use of automated mechanisms to track the location of information system components can increase the accuracy of component inventories. Such capability may also help organizations rapidly identify the location and responsible individuals of system components that have been compromised, breached, or are otherwise in need of mitigation actions.
Objective
|
Determine if the organization employs automated mechanisms to support tracking of information system components by geographic location. |
Assessment: EXAMINE
Configuration management policy
procedures addressing information system component inventory
configuration management plan
information system design documentation
information system configuration settings and associated documentation
information system inventory records
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with inventory management responsibilities for information system components
organizational personnel with information security responsibilities
system/network administrators
system developers
Assessment: TEST
Automated mechanisms implementing the information system component inventory
automated mechanisms supporting tracking of information system components by geographic location
CM-8 (9) ASSIGNMENT OF COMPONENTS TO SYSTEMS
Label: INSERT into cm-8..9._smt_a (CM-8 (9)(a))
Parameter: cm-8_prm_7 organization-defined acquired information system components
Control
|
The organization:
|
Supplemental guidance
Organizations determine the criteria for or types of information system components (e.g., microprocessors, motherboards, software, programmable logic controllers, and network devices) that are subject to this control enhancement.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Configuration management policy
procedures addressing information system component inventory
configuration management plan
security plan
information system design documentation
acknowledgements of information system component assignments
information system inventory records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with inventory management responsibilities for information system components
information system owner
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Organizational processes for assigning components to systems
organizational processes for acknowledging assignment of components to systems
automated mechanisms implementing assignment of acquired components to the information system
automated mechanisms implementing acknowledgment of assignment of acquired components to the information system
References
CM-9 CONFIGURATION MANAGEMENT PLAN
Control
|
The organization develops, documents, and implements a configuration management plan for the information system that:
|
Supplemental guidance
Configuration management plans satisfy the requirements in configuration management policies while being tailored to individual information systems. Such plans define detailed processes and procedures for how configuration management is used to support system development life cycle activities at the information system level. Configuration management plans are typically developed during the development/acquisition phase of the system development life cycle. The plans describe how to move changes through change management processes, how to update configuration settings and baselines, how to maintain information system component inventories, how to control development, test, and operational environments, and how to develop, release, and update key documents. Organizations can employ templates to help ensure consistent and timely development and implementation of configuration management plans. Such templates can represent a master configuration management plan for the organization at large with subsets of the plan implemented on a system by system basis. Configuration management approval processes include designation of key management stakeholders responsible for reviewing and approving proposed changes to information systems, and personnel that conduct security impact analyses prior to the implementation of changes to the systems. Configuration items are the information system items (hardware, software, firmware, and documentation) to be configuration-managed. As information systems continue through the system development life cycle, new configuration items may be identified and some existing configuration items may no longer need to be under configuration control.
cf CM-2: BASELINE CONFIGURATION
cf CM-3: CONFIGURATION CHANGE CONTROL
cf CM-4: SECURITY IMPACT ANALYSIS
cf CM-5: ACCESS RESTRICTIONS FOR CHANGE
Objectives
|
Determine if the organization develops, documents, and implements a configuration management plan for the information system that:
|
Assessment: EXAMINE
Configuration management policy
procedures addressing configuration management planning
configuration management plan
security plan
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibilities for developing the configuration management plan
organizational personnel with responsibilities for implementing and managing processes defined in the configuration management plan
organizational personnel with responsibilities for protecting the configuration management plan
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Organizational processes for developing and documenting the configuration management plan
organizational processes for identifying and managing configuration items
organizational processes for protecting the configuration management plan
automated mechanisms implementing the configuration management plan
automated mechanisms for managing configuration items
automated mechanisms for protecting the configuration management plan
Control enhancements
CM-9 (1) ASSIGNMENT OF RESPONSIBILITY
Control
|
The organization assigns responsibility for developing the configuration management process to organizational personnel that are not directly involved in information system development. |
Supplemental guidance
In the absence of dedicated configuration management teams assigned within organizations, system developers may be tasked to develop configuration management processes using personnel who are not directly involved in system development or integration. This separation of duties ensures that organizations establish and maintain a sufficient degree of independence between the information system development and integration processes and configuration management processes to facilitate quality control and more effective oversight.
Objective
|
Determine if the organization assigns responsibility for developing the configuration management process to organizational personnel that are not directly involved in information system development. |
Assessment: EXAMINE
Configuration management policy
procedures addressing responsibilities for configuration management process development
configuration management plan
security plan
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibilities for configuration management process development
organizational personnel with information security responsibilities
References
CM-10 SOFTWARE USAGE RESTRICTIONS
Control
|
The organization:
|
Supplemental guidance
Software license tracking can be accomplished by manual methods (e.g., simple spreadsheets) or automated methods (e.g., specialized tracking applications) depending on organizational needs.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Configuration management policy
procedures addressing software usage restrictions
configuration management plan
security plan
software contract agreements and copyright laws
site license documentation
list of software usage restrictions
software license tracking reports
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information security responsibilities
system/network administrators
organizational personnel operating, using, and/or maintaining the information system
organizational personnel with software license management responsibilities
Assessment: TEST
Organizational process for tracking the use of software protected by quantity licenses
organization process for controlling/documenting the use of peer-to-peer file sharing technology
automated mechanisms implementing software license tracking
automated mechanisms implementing and controlling the use of peer-to-peer files sharing technology
Control enhancements
CM-10 (1) OPEN SOURCE SOFTWARE
Label: INSERT into cm-10..1.
Parameter: cm-10_prm_1 organization-defined restrictions
Control
|
The organization establishes the following restrictions on the use of open source software: cm-10_prm_1 INSERT into cm-10..1. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Open source software refers to software that is available in source code form. Certain software rights normally reserved for copyright holders are routinely provided under software license agreements that permit individuals to study, change, and improve the software. From a security perspective, the major advantage of open source software is that it provides organizations with the ability to examine the source code. However, there are also various licensing issues associated with open source software including, for example, the constraints on derivative use of such software.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Configuration management policy
procedures addressing restrictions on use of open source software
configuration management plan
security plan
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibilities for establishing and enforcing restrictions on use of open source software
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Organizational process for restricting the use of open source software
automated mechanisms implementing restrictions on the use of open source software
References: None
CM-11 USER-INSTALLED SOFTWARE
Label: INSERT into cm-11_smt_a (CM-11a.)
Parameter: cm-11_prm_1 organization-defined policies
Label: INSERT into cm-11_smt_b (CM-11b.)
Parameter: cm-11_prm_2 organization-defined methods
Label: INSERT into cm-11_smt_c (CM-11c.)
Parameter: cm-11_prm_3 organization-defined frequency
Control
|
The organization:
|
Supplemental guidance
If provided the necessary privileges, users have the ability to install software in organizational information systems. To maintain control over the types of software installed, organizations identify permitted and prohibited actions regarding software installation. Permitted software installations may include, for example, updates and security patches to existing software and downloading applications from organization-approved “app stores” Prohibited software installations may include, for example, software with unknown or suspect pedigrees or software that organizations consider potentially malicious. The policies organizations select governing user-installed software may be organization-developed or provided by some external entity. Policy enforcement methods include procedural methods (e.g., periodic examination of user accounts), automated methods (e.g., configuration settings implemented on organizational information systems), or both.
cf CM-2: BASELINE CONFIGURATION
cf CM-3: CONFIGURATION CHANGE CONTROL
cf CM-5: ACCESS RESTRICTIONS FOR CHANGE
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Configuration management policy
procedures addressing user installed software
configuration management plan
security plan
information system design documentation
information system configuration settings and associated documentation
list of rules governing user installed software
information system monitoring records
information system audit records
other relevant documents or records
continuous monitoring strategy
Assessment: INTERVIEW
Organizational personnel with responsibilities for governing user-installed software
organizational personnel operating, using, and/or maintaining the information system
organizational personnel monitoring compliance with user-installed software policy
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Organizational processes governing user-installed software on the information system
automated mechanisms enforcing rules/methods for governing the installation of software by users
automated mechanisms monitoring policy compliance
Control enhancements
CM-11 (1) ALERTS FOR UNAUTHORIZED INSTALLATIONS
Label: INSERT into cm-11..1.
Parameter: cm-11_prm_4 organization-defined personnel or roles
Control
|
The information system alerts cm-11_prm_4 INSERT into cm-11..1. [NO PARAMETER VALUE GIVEN] when the unauthorized installation of software is detected. |
Objectives
|
Determine if:
|
Assessment: EXAMINE
Configuration management policy
procedures addressing user installed software
configuration management plan
security plan
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibilities for governing user-installed software
organizational personnel operating, using, and/or maintaining the information system
organizational personnel with information security responsibilities
system/network administrators
system developers
Assessment: TEST
Organizational processes governing user-installed software on the information system
automated mechanisms for alerting personnel/roles when unauthorized installation of software is detected
CM-11 (2) PROHIBIT INSTALLATION WITHOUT PRIVILEGED STATUS
Control
|
The information system prohibits user installation of software without explicit privileged status. |
Supplemental guidance
Privileged status can be obtained, for example, by serving in the role of system administrator.
Objective
|
Determine if the information system prohibits user installation of software without explicit privileged status. |
Assessment: EXAMINE
Configuration management policy
procedures addressing user installed software
configuration management plan
security plan
information system design documentation
information system configuration settings and associated documentation
alerts/notifications of unauthorized software installations
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibilities for governing user-installed software
organizational personnel operating, using, and/or maintaining the information system
Assessment: TEST
Organizational processes governing user-installed software on the information system
automated mechanisms for prohibiting installation of software without privileged status (e.g., access controls)
References: None
CONTINGENCY PLANNING
CP-1 CONTINGENCY PLANNING POLICY AND PROCEDURES
Label: INSERT into cp-1_smt_a (CP-1a.)
Parameter: cp-1_prm_1 organization-defined personnel or roles
Label: INSERT into cp-1_smt_b.1 (CP-1b.1.)
Parameter: cp-1_prm_2 organization-defined frequency
Label: INSERT into cp-1_smt_b.2 (CP-1b.2.)
Parameter: cp-1_prm_3 organization-defined frequency
Control
|
The organization:
|
Supplemental guidance
This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the CP family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
Objectives
|
Determine if:
|
Assessment: EXAMINE
Contingency planning policy and procedures
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with contingency planning responsibilities
organizational personnel with information security responsibilities
CP-2 CONTINGENCY PLAN
Label: INSERT into cp-2_smt_a.6 (CP-2a.6.)
Parameter: cp-2_prm_1 organization-defined personnel or roles
Label: INSERT into cp-2_smt_b (CP-2b.)
Parameter: cp-2_prm_2 organization-defined key contingency personnel (identified by name and/or by role) and organizational elements
Label: INSERT into cp-2_smt_d (CP-2d.)
Parameter: cp-2_prm_3 organization-defined frequency
Label: INSERT into cp-2_smt_f (CP-2f.)
Parameter: cp-2_prm_4 organization-defined key contingency personnel (identified by name and/or by role) and organizational elements
Control
|
The organization:
|
Supplemental guidance
Contingency planning for information systems is part of an overall organizational program for achieving continuity of operations for mission/business functions. Contingency planning addresses both information system restoration and implementation of alternative mission/business processes when systems are compromised. The effectiveness of contingency planning is maximized by considering such planning throughout the phases of the system development life cycle. Performing contingency planning on hardware, software, and firmware development can be an effective means of achieving information system resiliency. Contingency plans reflect the degree of restoration required for organizational information systems since not all systems may need to fully recover to achieve the level of continuity of operations desired. Information system recovery objectives reflect applicable laws, Executive Orders, directives, policies, standards, regulations, and guidelines. In addition to information system availability, contingency plans also address other security-related events resulting in a reduction in mission and/or business effectiveness, such as malicious attacks compromising the confidentiality or integrity of information systems. Actions addressed in contingency plans include, for example, orderly/graceful degradation, information system shutdown, fallback to a manual mode, alternate information flows, and operating in modes reserved for when systems are under attack. By closely coordinating contingency planning with incident handling activities, organizations can ensure that the necessary contingency planning activities are in place and activated in the event of a security incident.
cf AC-14: PERMITTED ACTIONS WITHOUT IDENTIFICATION OR AUTHENTICATION
cf CP-6: ALTERNATE STORAGE SITE
cf CP-7: ALTERNATE PROCESSING SITE
cf CP-8: TELECOMMUNICATIONS SERVICES
cf CP-9: INFORMATION SYSTEM BACKUP
cf CP-10: INFORMATION SYSTEM RECOVERY AND RECONSTITUTION
cf IR-8: INCIDENT RESPONSE PLAN
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Contingency planning policy
procedures addressing contingency operations for the information system
contingency plan
security plan
evidence of contingency plan reviews and updates
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with contingency planning and plan implementation responsibilities
organizational personnel with incident handling responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for contingency plan development, review, update, and protection
automated mechanisms for developing, reviewing, updating and/or protecting the contingency plan
Control enhancements
CP-2 (1) COORDINATE WITH RELATED PLANS
Control
|
The organization coordinates contingency plan development with organizational elements responsible for related plans. |
Supplemental guidance
Plans related to contingency plans for organizational information systems include, for example, Business Continuity Plans, Disaster Recovery Plans, Continuity of Operations Plans, Crisis Communications Plans, Critical Infrastructure Plans, Cyber Incident Response Plans, Insider Threat Implementation Plan, and Occupant Emergency Plans.
Objective
|
Determine if the organization coordinates contingency plan development with organizational elements responsible for related plans. |
Assessment: EXAMINE
Contingency planning policy
procedures addressing contingency operations for the information system
contingency plan
business contingency plans
disaster recovery plans
continuity of operations plans
crisis communications plans
critical infrastructure plans
cyber incident response plan
insider threat implementation plans
occupant emergency plans
security plan
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with contingency planning and plan implementation responsibilities
organizational personnel with information security responsibilities
personnel with responsibility for related plans
CP-2 (2) CAPACITY PLANNING
Control
|
The organization conducts capacity planning so that necessary capacity for information processing, telecommunications, and environmental support exists during contingency operations. |
Supplemental guidance
Capacity planning is needed because different types of threats (e.g., natural disasters, targeted cyber attacks) can result in a reduction of the available processing, telecommunications, and support services originally intended to support the organizational missions/business functions. Organizations may need to anticipate degraded operations during contingency operations and factor such degradation into capacity planning.
Objectives
|
Determine if the organization conducts capacity planning so that necessary capacity exists during contingency operations for:
|
Assessment: EXAMINE
Contingency planning policy
procedures addressing contingency operations for the information system
contingency plan
capacity planning documents
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with contingency planning and plan implementation responsibilities
organizational personnel with information security responsibilities
CP-2 (3) RESUME ESSENTIAL MISSIONS / BUSINESS FUNCTIONS
Label: INSERT into cp-2..3.
Parameter: cp-2_prm_5 organization-defined time period
Control
|
The organization plans for the resumption of essential missions and business functions within cp-2_prm_5 INSERT into cp-2..3. [NO PARAMETER VALUE GIVEN] of contingency plan activation. |
Supplemental guidance
Organizations may choose to carry out the contingency planning activities in this control enhancement as part of organizational business continuity planning including, for example, as part of business impact analyses. The time period for resumption of essential missions/business functions may be dependent on the severity/extent of disruptions to the information system and its supporting infrastructure.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Contingency planning policy
procedures addressing contingency operations for the information system
contingency plan
security plan
business impact assessment
other related plans
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with contingency planning and plan implementation responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for resumption of missions and business functions
CP-2 (4) RESUME ALL MISSIONS / BUSINESS FUNCTIONS
Label: INSERT into cp-2..4.
Parameter: cp-2_prm_6 organization-defined time period
Control
|
The organization plans for the resumption of all missions and business functions within cp-2_prm_6 INSERT into cp-2..4. [NO PARAMETER VALUE GIVEN] of contingency plan activation. |
Supplemental guidance
Organizations may choose to carry out the contingency planning activities in this control enhancement as part of organizational business continuity planning including, for example, as part of business impact analyses. The time period for resumption of all missions/business functions may be dependent on the severity/extent of disruptions to the information system and its supporting infrastructure.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Contingency planning policy
procedures addressing contingency operations for the information system
contingency plan
security plan
business impact assessment
other related plans
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with contingency planning and plan implementation responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for resumption of missions and business functions
CP-2 (5) CONTINUE ESSENTIAL MISSIONS / BUSINESS FUNCTIONS
Control
|
The organization plans for the continuance of essential missions and business functions with little or no loss of operational continuity and sustains that continuity until full information system restoration at primary processing and/or storage sites. |
Supplemental guidance
Organizations may choose to carry out the contingency planning activities in this control enhancement as part of organizational business continuity planning including, for example, as part of business impact analyses. Primary processing and/or storage sites defined by organizations as part of contingency planning may change depending on the circumstances associated with the contingency (e.g., backup sites may become primary sites).
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Contingency planning policy
procedures addressing contingency operations for the information system
contingency plan
business impact assessment
primary processing site agreements
primary storage site agreements
alternate processing site agreements
alternate storage site agreements
contingency plan test documentation
contingency plan test results
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with contingency planning and plan implementation responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for continuing missions and business functions
CP-2 (6) ALTERNATE PROCESSING / STORAGE SITE
Control
|
The organization plans for the transfer of essential missions and business functions to alternate processing and/or storage sites with little or no loss of operational continuity and sustains that continuity through information system restoration to primary processing and/or storage sites. |
Supplemental guidance
Organizations may choose to carry out the contingency planning activities in this control enhancement as part of organizational business continuity planning including, for example, as part of business impact analyses. Primary processing and/or storage sites defined by organizations as part of contingency planning may change depending on the circumstances associated with the contingency (e.g., backup sites may become primary sites).
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Contingency planning policy
procedures addressing contingency operations for the information system
contingency plan
business impact assessment
alternate processing site agreements
alternate storage site agreements
contingency plan testing documentation
contingency plan test results
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with contingency planning and plan implementation responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for transfer of essential missions and business functions to alternate processing/storage sites
CP-2 (7) COORDINATE WITH EXTERNAL SERVICE PROVIDERS
Control
|
The organization coordinates its contingency plan with the contingency plans of external service providers to ensure that contingency requirements can be satisfied. |
Supplemental guidance
When the capability of an organization to successfully carry out its core missions/business functions is dependent on external service providers, developing a timely and comprehensive contingency plan may become more challenging. In this situation, organizations coordinate contingency planning activities with the external entities to ensure that the individual plans reflect the overall contingency needs of the organization.
Objective
|
Determine if the organization coordinates its contingency plan with the contingency plans of external service provides to ensure contingency requirements can be satisfied. |
Assessment: EXAMINE
Contingency planning policy
procedures addressing contingency operations for the information system
contingency plan
contingency plans of external
service providers
service level agreements
security plan
contingency plan requirements
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with contingency planning and plan implementation responsibilities
external service providers
organizational personnel with information security responsibilities
CP-2 (8) IDENTIFY CRITICAL ASSETS
Control
|
The organization identifies critical information system assets supporting essential missions and business functions. |
Supplemental guidance
Organizations may choose to carry out the contingency planning activities in this control enhancement as part of organizational business continuity planning including, for example, as part of business impact analyses. Organizations identify critical information system assets so that additional safeguards and countermeasures can be employed (above and beyond those safeguards and countermeasures routinely implemented) to help ensure that organizational missions/business functions can continue to be conducted during contingency operations. In addition, the identification of critical information assets facilitates the prioritization of organizational resources. Critical information system assets include technical and operational aspects. Technical aspects include, for example, information technology services, information system components, information technology products, and mechanisms. Operational aspects include, for example, procedures (manually executed operations) and personnel (individuals operating technical safeguards and/or executing manual procedures). Organizational program protection plans can provide assistance in identifying critical assets.
Objective
|
Determine if the organization identifies critical information system assets supporting essential missions and business functions. |
Assessment: EXAMINE
Contingency planning policy
procedures addressing contingency operations for the information system
contingency plan
business impact assessment
security plan
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with contingency planning and plan implementation responsibilities
organizational personnel with information security responsibilities
CP-3 CONTINGENCY TRAINING
Label: INSERT into cp-3_smt_a (CP-3a.)
Parameter: cp-3_prm_1 organization-defined time period
Label: INSERT into cp-3_smt_c (CP-3c.)
Parameter: cp-3_prm_2 organization-defined frequency
Control
|
The organization provides contingency training to information system users consistent with assigned roles and responsibilities:
|
Supplemental guidance
Contingency training provided by organizations is linked to the assigned roles and responsibilities of organizational personnel to ensure that the appropriate content and level of detail is included in such training. For example, regular users may only need to know when and where to report for duty during contingency operations and if normal duties are affected; system administrators may require additional training on how to set up information systems at alternate processing and storage sites; and managers/senior leaders may receive more specific training on how to conduct mission-essential functions in designated off-site locations and how to establish communications with other governmental entities for purposes of coordination on contingency-related activities. Training for contingency roles/responsibilities reflects the specific continuity requirements in the contingency plan.
cf AT-2: SECURITY AWARENESS TRAINING
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Contingency planning policy
procedures addressing contingency training
contingency plan
contingency training curriculum
contingency training material
security plan
contingency training records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with contingency planning, plan implementation, and training responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for contingency training
Control enhancements
CP-3 (1) SIMULATED EVENTS
Control
|
The organization incorporates simulated events into contingency training to facilitate effective response by personnel in crisis situations. |
Objective
|
Determine if the organization incorporates simulated events into contingency training to facilitate effective response by personnel in crisis situations. |
Assessment: EXAMINE
Contingency planning policy
procedures addressing contingency training
contingency plan
contingency training curriculum
contingency training material
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with contingency planning, plan implementation, and training responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for contingency training
automated mechanisms for simulating contingency events
CP-3 (2) AUTOMATED TRAINING ENVIRONMENTS
Control
|
The organization employs automated mechanisms to provide a more thorough and realistic contingency training environment. |
Objective
|
Determine if the organization employs automated mechanisms to provide a more thorough and realistic contingency training environment. |
Assessment: EXAMINE
Contingency planning policy
procedures addressing contingency training
contingency plan
contingency training curriculum
contingency training material
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with contingency planning, plan implementation, and training responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for contingency training
automated mechanisms for providing contingency training environments
CP-4 CONTINGENCY PLAN TESTING
Label: INSERT into cp-4_smt_a (CP-4a.)
Parameter: cp-4_prm_1 organization-defined frequency
Label: INSERT into cp-4_smt_a (CP-4a.)
Parameter: cp-4_prm_2 organization-defined tests
Control
|
The organization:
|
Supplemental guidance
Methods for testing contingency plans to determine the effectiveness of the plans and to identify potential weaknesses in the plans include, for example, walk-through and tabletop exercises, checklists, simulations (parallel, full interrupt), and comprehensive exercises. Organizations conduct testing based on the continuity requirements in contingency plans and include a determination of the effects on organizational operations, assets, and individuals arising due to contingency operations. Organizations have flexibility and discretion in the breadth, depth, and timelines of corrective actions.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Contingency planning policy
procedures addressing contingency plan testing
contingency plan
security plan
contingency plan test documentation
contingency plan test results
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibilities for contingency plan testing, reviewing or responding to contingency plan tests
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for contingency plan testing
automated mechanisms supporting the contingency plan and/or contingency plan testing
Control enhancements
CP-4 (1) COORDINATE WITH RELATED PLANS
Control
|
The organization coordinates contingency plan testing with organizational elements responsible for related plans. |
Supplemental guidance
Plans related to contingency plans for organizational information systems include, for example, Business Continuity Plans, Disaster Recovery Plans, Continuity of Operations Plans, Crisis Communications Plans, Critical Infrastructure Plans, Cyber Incident Response Plans, and Occupant Emergency Plans. This control enhancement does not require organizations to create organizational elements to handle related plans or to align such elements with specific plans. It does require, however, that if such organizational elements are responsible for related plans, organizations should coordinate with those elements.
Objective
|
Determine if the organization coordinates contingency plan testing with organizational elements responsible for related plans. |
Assessment: EXAMINE
Contingency planning policy
incident response policy
procedures addressing contingency plan testing
contingency plan testing documentation
contingency plan
business continuity plans
disaster recovery plans
continuity of operations plans
crisis communications plans
critical infrastructure plans
cyber incident response plans
occupant emergency plans
security plan
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with contingency plan testing responsibilities
organizational personnel
personnel with responsibilities for related plans
organizational personnel with information security responsibilities
CP-4 (2) ALTERNATE PROCESSING SITE
Control
|
The organization tests the contingency plan at the alternate processing site:
|
Supplemental guidance
Objectives
|
Determine if the organization tests the contingency plan at the alternate processing site to:
|
Assessment: EXAMINE
Contingency planning policy
procedures addressing contingency plan testing
contingency plan
contingency plan test documentation
contingency plan test results
alternate processing site agreements
service-level agreements
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with contingency planning and plan implementation responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for contingency plan testing
automated mechanisms supporting the contingency plan and/or contingency plan testing
CP-4 (3) AUTOMATED TESTING
Control
|
The organization employs automated mechanisms to more thoroughly and effectively test the contingency plan. |
Supplemental guidance
Automated mechanisms provide more thorough and effective testing of contingency plans, for example: (i) by providing more complete coverage of contingency issues; (ii) by selecting more realistic test scenarios and environments; and (iii) by effectively stressing the information system and supported missions.
Objective
|
Determine if the organization employs automated mechanisms to more thoroughly and effectively test the contingency plan. |
Assessment: EXAMINE
Contingency planning policy
procedures addressing contingency plan testing
contingency plan
automated mechanisms supporting contingency plan testing
contingency plan test documentation
contingency plan test results
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with contingency plan testing responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for contingency plan testing
automated mechanisms supporting contingency plan testing
CP-4 (4) FULL RECOVERY / RECONSTITUTION
Control
|
The organization includes a full recovery and reconstitution of the information system to a known state as part of contingency plan testing. |
Supplemental guidance
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Contingency planning policy
procedures addressing information system recovery and reconstitution
contingency plan
contingency plan test documentation
contingency plan test results
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with contingency plan testing responsibilities
organizational personnel with information system recovery and reconstitution responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for contingency plan testing
automated mechanisms supporting contingency plan testing
automated mechanisms supporting recovery and reconstitution of the information system
CP-5 CONTINGENCY PLAN UPDATE
Control
|
Withdrawn: Incorporated into CP-2. |
References: None
CP-6 ALTERNATE STORAGE SITE
Control
|
The organization:
|
Supplemental guidance
Alternate storage sites are sites that are geographically distinct from primary storage sites. An alternate storage site maintains duplicate copies of information and data in the event that the primary storage site is not available. Items covered by alternate storage site agreements include, for example, environmental conditions at alternate sites, access rules, physical and environmental protection requirements, and coordination of delivery/retrieval of backup media. Alternate storage sites reflect the requirements in contingency plans so that organizations can maintain essential missions/business functions despite disruption, compromise, or failure in organizational information systems.
cf CP-7: ALTERNATE PROCESSING SITE
cf CP-9: INFORMATION SYSTEM BACKUP
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Contingency planning policy
procedures addressing alternate storage sites
contingency plan
alternate storage site agreements
primary storage site agreements
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with contingency plan alternate storage site responsibilities
organizational personnel with information system recovery responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for storing and retrieving information system backup information at the alternate storage site
automated mechanisms supporting and/or implementing storage and retrieval of information system backup information at the alternate storage site
Control enhancements
CP-6 (1) SEPARATION FROM PRIMARY SITE
Control
|
The organization identifies an alternate storage site that is separated from the primary storage site to reduce susceptibility to the same threats. |
Supplemental guidance
Threats that affect alternate storage sites are typically defined in organizational assessments of risk and include, for example, natural disasters, structural failures, hostile cyber attacks, and errors of omission/commission. Organizations determine what is considered a sufficient degree of separation between primary and alternate storage sites based on the types of threats that are of concern. For one particular type of threat (i.e., hostile cyber attack), the degree of separation between sites is less relevant.
Objective
|
Determine if the organization identifies an alternate storage site that is separated from the primary storage site to reduce susceptibility to the same threats. |
Assessment: EXAMINE
Contingency planning policy
procedures addressing alternate storage sites
contingency plan
alternate storage site
alternate storage site agreements
primary storage site agreements
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with contingency plan alternate storage site responsibilities
organizational personnel with information system recovery responsibilities
organizational personnel with information security responsibilities
CP-6 (2) RECOVERY TIME / POINT OBJECTIVES
Control
|
The organization configures the alternate storage site to facilitate recovery operations in accordance with recovery time and recovery point objectives. |
Objective
|
Determine if the organization configures the alternate storage site to facilitate recovery operations in accordance with recovery time objectives and recovery point objectives (as specified in the information system contingency plan). |
Assessment: EXAMINE
Contingency planning policy
procedures addressing alternate storage sites
contingency plan
alternate storage site
alternate storage site agreements
alternate storage site configurations
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with contingency plan testing responsibilities
organizational personnel with responsibilities for testing related plans
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for contingency plan testing
automated mechanisms supporting recovery time/point objectives
CP-6 (3) ACCESSIBILITY
Control
|
The organization identifies potential accessibility problems to the alternate storage site in the event of an area-wide disruption or disaster and outlines explicit mitigation actions. |
Supplemental guidance
Area-wide disruptions refer to those types of disruptions that are broad in geographic scope (e.g., hurricane, regional power outage) with such determinations made by organizations based on organizational assessments of risk. Explicit mitigation actions include, for example: (i) duplicating backup information at other alternate storage sites if access problems occur at originally designated alternate sites; or (ii) planning for physical access to retrieve backup information if electronic accessibility to the alternate site is disrupted.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Contingency planning policy
procedures addressing alternate storage sites
contingency plan
alternate storage site
list of potential accessibility problems to alternate storage site
mitigation actions for accessibility problems to alternate storage site
organizational risk assessments
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with contingency plan alternate storage site responsibilities
organizational personnel with information system recovery responsibilities
organizational personnel with information security responsibilities
References
CP-7 ALTERNATE PROCESSING SITE
Label: INSERT into cp-7_smt_a (CP-7a.)
Parameter: cp-7_prm_1 organization-defined information system operations
Label: INSERT into cp-7_smt_a (CP-7a.)
Parameter: cp-7_prm_2 organization-defined time period consistent with recovery time and recovery point objectives
Control
|
The organization:
|
Supplemental guidance
Alternate processing sites are sites that are geographically distinct from primary processing sites. An alternate processing site provides processing capability in the event that the primary processing site is not available. Items covered by alternate processing site agreements include, for example, environmental conditions at alternate sites, access rules, physical and environmental protection requirements, and coordination for the transfer/assignment of personnel. Requirements are specifically allocated to alternate processing sites that reflect the requirements in contingency plans to maintain essential missions/business functions despite disruption, compromise, or failure in organizational information systems.
cf CP-6: ALTERNATE STORAGE SITE
cf CP-8: TELECOMMUNICATIONS SERVICES
cf CP-9: INFORMATION SYSTEM BACKUP
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Contingency planning policy
procedures addressing alternate processing sites
contingency plan
alternate processing site agreements
primary processing site agreements
spare equipment and supplies inventory at alternate processing site
equipment and supply contracts
service-level agreements
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibilities for contingency planning and/or alternate site arrangements
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for recovery at the alternate site
automated mechanisms supporting and/or implementing recovery at the alternate processing site
Control enhancements
CP-7 (1) SEPARATION FROM PRIMARY SITE
Control
|
The organization identifies an alternate processing site that is separated from the primary processing site to reduce susceptibility to the same threats. |
Supplemental guidance
Threats that affect alternate processing sites are typically defined in organizational assessments of risk and include, for example, natural disasters, structural failures, hostile cyber attacks, and errors of omission/commission. Organizations determine what is considered a sufficient degree of separation between primary and alternate processing sites based on the types of threats that are of concern. For one particular type of threat (i.e., hostile cyber attack), the degree of separation between sites is less relevant.
Objective
|
Determine if the organization identifies an alternate processing site that is separated from the primary storage site to reduce susceptibility to the same threats. |
Assessment: EXAMINE
Contingency planning policy
procedures addressing alternate processing sites
contingency plan
alternate processing site
alternate processing site agreements
primary processing site agreements
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with contingency plan alternate processing site responsibilities
organizational personnel with information system recovery responsibilities
organizational personnel with information security responsibilities
CP-7 (2) ACCESSIBILITY
Control
|
The organization identifies potential accessibility problems to the alternate processing site in the event of an area-wide disruption or disaster and outlines explicit mitigation actions. |
Supplemental guidance
Area-wide disruptions refer to those types of disruptions that are broad in geographic scope (e.g., hurricane, regional power outage) with such determinations made by organizations based on organizational assessments of risk.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Contingency planning policy
procedures addressing alternate processing sites
contingency plan
alternate processing site
alternate processing site agreements
primary processing site agreements
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with contingency plan alternate processing site responsibilities
organizational personnel with information system recovery responsibilities
organizational personnel with information security responsibilities
CP-7 (3) PRIORITY OF SERVICE
Control
|
The organization develops alternate processing site agreements that contain priority-of-service provisions in accordance with organizational availability requirements (including recovery time objectives). |
Supplemental guidance
Priority-of-service agreements refer to negotiated agreements with service providers that ensure that organizations receive priority treatment consistent with their availability requirements and the availability of information resources at the alternate processing site.
Objective
|
Determine if the organization develops alternate processing site agreements that contain priority-of-service provisions in accordance with organizational availability requirements (including recovery time objectives as specified in the information system contingency plan). |
Assessment: EXAMINE
Contingency planning policy
procedures addressing alternate processing sites
contingency plan
alternate processing site agreements
service-level agreements
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with contingency plan alternate processing site responsibilities
organizational personnel with information system recovery responsibilities
organizational personnel with information security responsibilities
organizational personnel with responsibility for acquisitions/contractual agreements
CP-7 (4) PREPARATION FOR USE
Control
|
The organization prepares the alternate processing site so that the site is ready to be used as the operational site supporting essential missions and business functions. |
Supplemental guidance
Site preparation includes, for example, establishing configuration settings for information system components at the alternate processing site consistent with the requirements for such settings at the primary site and ensuring that essential supplies and other logistical considerations are in place.
Objective
|
Determine if the organization prepares the alternate processing site so that the site is ready to be used as the operational site supporting essential missions and business functions. |
Assessment: EXAMINE
Contingency planning policy
procedures addressing alternate processing sites
contingency plan
alternate processing site
alternate processing site agreements
alternate processing site configurations
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with contingency plan alternate processing site responsibilities
organizational personnel with information system recovery responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms supporting and/or implementing recovery at the alternate processing site
CP-7 (5) EQUIVALENT INFORMATION SECURITY SAFEGUARDS
cf CP-7: ALTERNATE PROCESSING SITE
Control
|
Withdrawn: Incorporated into CP-7. |
CP-7 (6) INABILITY TO RETURN TO PRIMARY SITE
Control
|
The organization plans and prepares for circumstances that preclude returning to the primary processing site. |
Objective
|
Determine if the organization plans and prepares for circumstances that preclude returning to the primary processing site. |
Assessment: EXAMINE
Contingency planning policy
procedures addressing alternate processing sites
contingency plan
alternate processing site
alternate processing site agreements
alternate processing site configurations
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system reconstitution responsibilities
organizational personnel with information security responsibilities
References
CP-8 TELECOMMUNICATIONS SERVICES
Label: INSERT into cp-8
Parameter: cp-8_prm_1 organization-defined information system operations
Label: INSERT into cp-8
Parameter: cp-8_prm_2 organization-defined time period
Control
|
The organization establishes alternate telecommunications services including necessary agreements to permit the resumption of cp-8_prm_1 INSERT into cp-8 [NO PARAMETER VALUE GIVEN] for essential missions and business functions within cp-8_prm_2 INSERT into cp-8 [NO PARAMETER VALUE GIVEN] when the primary telecommunications capabilities are unavailable at either the primary or alternate processing or storage sites. |
Supplemental guidance
This control applies to telecommunications services (data and voice) for primary and alternate processing and storage sites. Alternate telecommunications services reflect the continuity requirements in contingency plans to maintain essential missions/business functions despite the loss of primary telecommunications services. Organizations may specify different time periods for primary/alternate sites. Alternate telecommunications services include, for example, additional organizational or commercial ground-based circuits/lines or satellites in lieu of ground-based communications. Organizations consider factors such as availability, quality of service, and access when entering into alternate telecommunications agreements.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Contingency planning policy
procedures addressing alternate telecommunications services
contingency plan
primary and alternate telecommunications service agreements
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with contingency plan telecommunications responsibilities
organizational personnel with information system recovery responsibilities
organizational personnel with information security responsibilities
organizational personnel with responsibility for acquisitions/contractual agreements
Assessment: TEST
Automated mechanisms supporting telecommunications
Control enhancements
CP-8 (1) PRIORITY OF SERVICE PROVISIONS
Control
|
The organization:
|
Supplemental guidance
Organizations consider the potential mission/business impact in situations where telecommunications service providers are servicing other organizations with similar priority-of-service provisions.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Contingency planning policy
procedures addressing primary and alternate telecommunications services
contingency plan
primary and alternate telecommunications service agreements
Telecommunications Service Priority documentation
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with contingency plan telecommunications responsibilities
organizational personnel with information system recovery responsibilities
organizational personnel with information security responsibilities
organizational personnel with responsibility for acquisitions/contractual agreements
Assessment: TEST
Automated mechanisms supporting telecommunications
CP-8 (2) SINGLE POINTS OF FAILURE
Control
|
The organization obtains alternate telecommunications services to reduce the likelihood of sharing a single point of failure with primary telecommunications services. |
Objective
|
Determine if the organization obtains alternate telecommunications services to reduce the likelihood of sharing a single point of failure with primary telecommunications services. |
Assessment: EXAMINE
Contingency planning policy
procedures addressing primary and alternate telecommunications services
contingency plan
primary and alternate telecommunications service agreements
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with contingency plan telecommunications responsibilities
organizational personnel with information system recovery responsibilities
primary and alternate telecommunications service providers
organizational personnel with information security responsibilities
CP-8 (3) SEPARATION OF PRIMARY / ALTERNATE PROVIDERS
Control
|
The organization obtains alternate telecommunications services from providers that are separated from primary service providers to reduce susceptibility to the same threats. |
Supplemental guidance
Threats that affect telecommunications services are typically defined in organizational assessments of risk and include, for example, natural disasters, structural failures, hostile cyber/physical attacks, and errors of omission/commission. Organizations seek to reduce common susceptibilities by, for example, minimizing shared infrastructure among telecommunications service providers and achieving sufficient geographic separation between services. Organizations may consider using a single service provider in situations where the service provider can provide alternate telecommunications services meeting the separation needs addressed in the risk assessment.
Objective
|
Determine if the organization obtains alternate telecommunications services from providers that are separated from primary service providers to reduce susceptibility to the same threats. |
Assessment: EXAMINE
Contingency planning policy
procedures addressing primary and alternate telecommunications services
contingency plan
primary and alternate telecommunications service agreements
alternate telecommunications service provider site
primary telecommunications service provider site
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with contingency plan telecommunications responsibilities
organizational personnel with information system recovery responsibilities
primary and alternate telecommunications service providers
organizational personnel with information security responsibilities
CP-8 (4) PROVIDER CONTINGENCY PLAN
Label: INSERT into cp-8..4._smt_c (CP-8 (4)(c))
Parameter: cp-8_prm_3 organization-defined frequency
Control
|
The organization:
|
Supplemental guidance
Reviews of provider contingency plans consider the proprietary nature of such plans. In some situations, a summary of provider contingency plans may be sufficient evidence for organizations to satisfy the review requirement. Telecommunications service providers may also participate in ongoing disaster recovery exercises in coordination with the Department of Homeland Security, state, and local governments. Organizations may use these types of activities to satisfy evidentiary requirements related to service provider contingency plan reviews, testing, and training.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Contingency planning policy
procedures addressing primary and alternate telecommunications services
contingency plan
provider contingency plans
evidence of contingency testing/training by providers
primary and alternate telecommunications service agreements
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with contingency planning, plan implementation, and testing responsibilities
primary and alternate telecommunications service providers
organizational personnel with information security responsibilities
organizational personnel with responsibility for acquisitions/contractual agreements
CP-8 (5) ALTERNATE TELECOMMUNICATION SERVICE TESTING
Label: INSERT into cp-8..5.
Parameter: cp-8_prm_4 organization-defined frequency
Control
|
The organization tests alternate telecommunication services cp-8_prm_4 INSERT into cp-8..5. [NO PARAMETER VALUE GIVEN] . |
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Contingency planning policy
procedures addressing alternate telecommunications services
contingency plan
evidence of testing alternate telecommunications services
alternate telecommunications service agreements
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with contingency planning, plan implementation, and testing responsibilities
alternate telecommunications service providers
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms supporting testing alternate telecommunications services
CP-9 INFORMATION SYSTEM BACKUP
Label: INSERT into cp-9_smt_a (CP-9a.)
Parameter: cp-9_prm_1 organization-defined frequency consistent with recovery time and recovery point objectives
Label: INSERT into cp-9_smt_b (CP-9b.)
Parameter: cp-9_prm_2 organization-defined frequency consistent with recovery time and recovery point objectives
Label: INSERT into cp-9_smt_c (CP-9c.)
Parameter: cp-9_prm_3 organization-defined frequency consistent with recovery time and recovery point objectives
Control
|
The organization:
|
Supplemental guidance
System-level information includes, for example, system-state information, operating system and application software, and licenses. User-level information includes any information other than system-level information. Mechanisms employed by organizations to protect the integrity of information system backups include, for example, digital signatures and cryptographic hashes. Protection of system backup information while in transit is beyond the scope of this control. Information system backups reflect the requirements in contingency plans as well as other organizational requirements for backing up information.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Contingency planning policy
procedures addressing information system backup
contingency plan
backup storage location(s)
information system backup logs or records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system backup responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for conducting information system backups
automated mechanisms supporting and/or implementing information system backups
Control enhancements
CP-9 (1) TESTING FOR RELIABILITY / INTEGRITY
Label: INSERT into cp-9..1.
Parameter: cp-9_prm_4 organization-defined frequency
Control
|
The organization tests backup information cp-9_prm_4 INSERT into cp-9..1. [NO PARAMETER VALUE GIVEN] to verify media reliability and information integrity. |
Supplemental guidance
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Contingency planning policy
procedures addressing information system backup
contingency plan
information system backup test results
contingency plan test documentation
contingency plan test results
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system backup responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for conducting information system backups
automated mechanisms supporting and/or implementing information system backups
CP-9 (2) TEST RESTORATION USING SAMPLING
Control
|
The organization uses a sample of backup information in the restoration of selected information system functions as part of contingency plan testing. |
Supplemental guidance
Objective
|
Determine if the organization uses a sample of backup information in the restoration of selected information system functions as part of contingency plan testing. |
Assessment: EXAMINE
Contingency planning policy
procedures addressing information system backup
contingency plan
information system backup test results
contingency plan test documentation
contingency plan test results
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system backup responsibilities
organizational personnel with contingency planning/contingency plan testing responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for conducting information system backups
automated mechanisms supporting and/or implementing information system backups
CP-9 (3) SEPARATE STORAGE FOR CRITICAL INFORMATION
Label: INSERT into cp-9..3.
Parameter: cp-9_prm_5 organization-defined critical information system software and other security-related information
Control
|
The organization stores backup copies of cp-9_prm_5 INSERT into cp-9..3. [NO PARAMETER VALUE GIVEN] in a separate facility or in a fire-rated container that is not collocated with the operational system. |
Supplemental guidance
Critical information system software includes, for example, operating systems, cryptographic key management systems, and intrusion detection/prevention systems. Security-related information includes, for example, organizational inventories of hardware, software, and firmware components. Alternate storage sites typically serve as separate storage facilities for organizations.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Contingency planning policy
procedures addressing information system backup
contingency plan
backup storage location(s)
information system backup configurations and associated documentation
information system backup logs or records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with contingency planning and plan implementation responsibilities
organizational personnel with information system backup responsibilities
organizational personnel with information security responsibilities
CP-9 (4) PROTECTION FROM UNAUTHORIZED MODIFICATION
cf CP-9: INFORMATION SYSTEM BACKUP
Control
|
Withdrawn: Incorporated into CP-9. |
CP-9 (5) TRANSFER TO ALTERNATE STORAGE SITE
Label: INSERT into cp-9..5.
Parameter: cp-9_prm_6 organization-defined time period and transfer rate consistent with the recovery time and recovery point objectives
Control
|
The organization transfers information system backup information to the alternate storage site cp-9_prm_6 INSERT into cp-9..5. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Information system backup information can be transferred to alternate storage sites either electronically or by physical shipment of storage media.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Contingency planning policy
procedures addressing information system backup
contingency plan
information system backup logs or records
evidence of system backup information transferred to alternate storage site
alternate storage site agreements
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system backup responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for transferring information system backups to the alternate storage site
automated mechanisms supporting and/or implementing information system backups
automated mechanisms supporting and/or implementing information transfer to the alternate storage site
CP-9 (6) REDUNDANT SECONDARY SYSTEM
Control
|
The organization accomplishes information system backup by maintaining a redundant secondary system that is not collocated with the primary system and that can be activated without loss of information or disruption to operations. |
Supplemental guidance
Objectives
|
Determine if the organization accomplishes information system backup by maintaining a redundant secondary system that:
|
Assessment: EXAMINE
Contingency planning policy
procedures addressing information system backup
contingency plan
information system backup test results
contingency plan test results
contingency plan test documentation
redundant secondary system for information system backups
location(s) of redundant secondary backup system(s)
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system backup responsibilities
organizational personnel with information security responsibilities
organizational personnel with responsibility for the redundant secondary system
Assessment: TEST
Organizational processes for maintaining redundant secondary systems
automated mechanisms supporting and/or implementing information system backups
automated mechanisms supporting and/or implementing information transfer to a redundant secondary system
CP-9 (7) DUAL AUTHORIZATION
Label: INSERT into cp-9..7.
Parameter: cp-9_prm_7 organization-defined backup information
Control
|
The organization enforces dual authorization for the deletion or destruction of cp-9_prm_7 INSERT into cp-9..7. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Dual authorization ensures that the deletion or destruction of backup information cannot occur unless two qualified individuals carry out the task. Individuals deleting/destroying backup information possess sufficient skills/expertise to determine if the proposed deletion/destruction of backup information reflects organizational policies and procedures. Dual authorization may also be known as two-person control.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Contingency planning policy
procedures addressing information system backup
contingency plan
information system design documentation
information system configuration settings and associated documentation
system generated list of dual authorization credentials or rules
logs or records of deletion or destruction of backup information
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system backup responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms supporting and/or implementing dual authorization
automated mechanisms supporting and/or implementing deletion/destruction of backup information
References
CP-10 INFORMATION SYSTEM RECOVERY AND RECONSTITUTION
Control
|
The organization provides for the recovery and reconstitution of the information system to a known state after a disruption, compromise, or failure. |
Supplemental guidance
Recovery is executing information system contingency plan activities to restore organizational missions/business functions. Reconstitution takes place following recovery and includes activities for returning organizational information systems to fully operational states. Recovery and reconstitution operations reflect mission and business priorities, recovery point/time and reconstitution objectives, and established organizational metrics consistent with contingency plan requirements. Reconstitution includes the deactivation of any interim information system capabilities that may have been needed during recovery operations. Reconstitution also includes assessments of fully restored information system capabilities, reestablishment of continuous monitoring activities, potential information system reauthorizations, and activities to prepare the systems against future disruptions, compromises, or failures. Recovery/reconstitution capabilities employed by organizations can include both automated mechanisms and manual procedures.
cf CA-6: SECURITY AUTHORIZATION
cf CA-7: CONTINUOUS MONITORING
cf CP-6: ALTERNATE STORAGE SITE
cf CP-7: ALTERNATE PROCESSING SITE
Objectives
|
Determine if the organization provides for:
|
Assessment: EXAMINE
Contingency planning policy
procedures addressing information system backup
contingency plan
information system backup test results
contingency plan test results
contingency plan test documentation
redundant secondary system for information system backups
location(s) of redundant secondary backup system(s)
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with contingency planning, recovery, and/or reconstitution responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes implementing information system recovery and reconstitution operations
automated mechanisms supporting and/or implementing information system recovery and reconstitution operations
Control enhancements
CP-10 (1) CONTINGENCY PLAN TESTING
cf CP-4: CONTINGENCY PLAN TESTING
Control
|
Withdrawn: Incorporated into CP-4. |
CP-10 (2) TRANSACTION RECOVERY
Control
|
The information system implements transaction recovery for systems that are transaction-based. |
Supplemental guidance
Transaction-based information systems include, for example, database management systems and transaction processing systems. Mechanisms supporting transaction recovery include, for example, transaction rollback and transaction journaling.
Objective
|
Determine if the information system implements transaction recovery for systems that are transaction-based. |
Assessment: EXAMINE
Contingency planning policy
procedures addressing information system recovery and reconstitution
contingency plan
information system design documentation
information system configuration settings and associated documentation
contingency plan test documentation
contingency plan test results
information system transaction recovery records
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibility for transaction recovery
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms supporting and/or implementing transaction recovery capability
CP-10 (3) COMPENSATING SECURITY CONTROLS
Control
|
Withdrawn: Addressed through tailoring procedures. |
CP-10 (4) RESTORE WITHIN TIME PERIOD
Label: INSERT into cp-10..4.
Parameter: cp-10_prm_1 organization-defined restoration time-periods
Control
|
The organization provides the capability to restore information system components within cp-10_prm_1 INSERT into cp-10..4. [NO PARAMETER VALUE GIVEN] from configuration-controlled and integrity-protected information representing a known, operational state for the components. |
Supplemental guidance
Restoration of information system components includes, for example, reimaging which restores components to known, operational states.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Contingency planning policy
procedures addressing information system recovery and reconstitution
contingency plan
information system design documentation
information system configuration settings and associated documentation
contingency plan test documentation
contingency plan test results
evidence of information system recovery and reconstitution operations
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system recovery and reconstitution responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms supporting and/or implementing recovery/reconstitution of information system information
CP-10 (5) FAILOVER CAPABILITY
cf SI-13: PREDICTABLE FAILURE PREVENTION
Control
|
Withdrawn: Incorporated into SI-13. |
CP-10 (6) COMPONENT PROTECTION
Control
|
The organization protects backup and restoration hardware, firmware, and software. |
Supplemental guidance
Protection of backup and restoration hardware, firmware, and software components includes both physical and technical safeguards. Backup and restoration software includes, for example, router tables, compilers, and other security-relevant system software.
Objectives
|
Determine if the organization protects backup and restoration:
|
Assessment: EXAMINE
Contingency planning policy
procedures addressing information system recovery and reconstitution
contingency plan
information system design documentation
information system configuration settings and associated documentation
logical access credentials
physical access credentials
logical access authorization records
physical access authorization records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system recovery and reconstitution responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for protecting backup and restoration hardware, firmware, and software
automated mechanisms supporting and/or implementing protection of backup and restoration hardware, firmware, and software
CP-11 ALTERNATE COMMUNICATIONS PROTOCOLS
Label: INSERT into cp-11
Parameter: cp-11_prm_1 organization-defined alternative communications protocols
Control
|
The information system provides the capability to employ cp-11_prm_1 INSERT into cp-11 [NO PARAMETER VALUE GIVEN] in support of maintaining continuity of operations. |
Supplemental guidance
Contingency plans and the associated training and testing for those plans, incorporate an alternate communications protocol capability as part of increasing the resilience of organizational information systems. Alternate communications protocols include, for example, switching from Transmission Control Protocol/Internet Protocol (TCP/IP) Version 4 to TCP/IP Version 6. Switching communications protocols may affect software applications and therefore, the potential side effects of introducing alternate communications protocols are analyzed prior to implementation.
Objectives
|
Determine if:
|
Assessment: EXAMINE
Contingency planning policy
procedures addressing alternative communications protocols
contingency plan
continuity of operations plan
information system design documentation
information system configuration settings and associated documentation
list of alternative communications protocols supporting continuity of operations
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with contingency planning and plan implementation responsibilities
organizational personnel with continuity of operations planning and plan implementation responsibilities
organizational personnel with information security responsibilities
system/network administrators
system developers
Assessment: TEST
Automated mechanisms employing alternative communications protocols
References: None
CP-12 SAFE MODE
Label: INSERT into cp-12
Parameter: cp-12_prm_1 organization-defined conditions
Label: INSERT into cp-12
Parameter: cp-12_prm_2 organization-defined restrictions of safe mode of operation
Control
|
The information system, when cp-12_prm_1 INSERT into cp-12 [NO PARAMETER VALUE GIVEN] are detected, enters a safe mode of operation with cp-12_prm_2 INSERT into cp-12 [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
For information systems supporting critical missions/business functions including, for example, military operations and weapons systems, civilian space operations, nuclear power plant operations, and air traffic control operations (especially real-time operational environments), organizations may choose to identify certain conditions under which those systems revert to a predefined safe mode of operation. The safe mode of operation, which can be activated automatically or manually, restricts the types of activities or operations information systems could execute when those conditions are encountered. Restriction includes, for example, allowing only certain functions that could be carried out under limited power or with reduced communications bandwidth.
Objectives
|
Determine if:
|
Assessment: EXAMINE
Contingency planning policy
procedures addressing safe mode of operation for the information system
contingency plan
information system design documentation
information system configuration settings and associated documentation
information system administration manuals
information system operation manuals
information system installation manuals
contingency plan test records
incident handling records
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system operation responsibilities
organizational personnel with information security responsibilities
system/network administrators
system developers
Assessment: TEST
Automated mechanisms implementing safe mode of operation
References: None
CP-13 ALTERNATIVE SECURITY MECHANISMS
Label: INSERT into cp-13
Parameter: cp-13_prm_1 organization-defined alternative or supplemental security mechanisms
Label: INSERT into cp-13
Parameter: cp-13_prm_2 organization-defined security functions
Control
|
The organization employs cp-13_prm_1 INSERT into cp-13 [NO PARAMETER VALUE GIVEN] for satisfying cp-13_prm_2 INSERT into cp-13 [NO PARAMETER VALUE GIVEN] when the primary means of implementing the security function is unavailable or compromised. |
Supplemental guidance
This control supports information system resiliency and contingency planning/continuity of operations. To ensure mission/business continuity, organizations can implement alternative or supplemental security mechanisms. These mechanisms may be less effective than the primary mechanisms (e.g., not as easy to use, not as scalable, or not as secure). However, having the capability to readily employ these alternative/supplemental mechanisms enhances overall mission/business continuity that might otherwise be adversely impacted if organizational operations had to be curtailed until the primary means of implementing the functions was restored. Given the cost and level of effort required to provide such alternative capabilities, this control would typically be applied only to critical security capabilities provided by information systems, system components, or information system services. For example, an organization may issue to senior executives and system administrators one-time pads in case multifactor tokens, the organization’s standard means for secure remote authentication, is compromised.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Contingency planning policy
procedures addressing alternate security mechanisms
contingency plan
continuity of operations plan
information system design documentation
information system configuration settings and associated documentation
contingency plan test records
contingency plan test results
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system operation responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Information system capability implementing alternative security mechanisms
References: None
IDENTIFICATION AND AUTHENTICATION
IA-1 IDENTIFICATION AND AUTHENTICATION POLICY AND PROCEDURES
Label: INSERT into ia-1_smt_a (IA-1a.)
Parameter: ia-1_prm_1 organization-defined personnel or roles
Label: INSERT into ia-1_smt_b.1 (IA-1b.1.)
Parameter: ia-1_prm_2 organization-defined frequency
Label: INSERT into ia-1_smt_b.2 (IA-1b.2.)
Parameter: ia-1_prm_3 organization-defined frequency
Control
|
The organization:
|
Supplemental guidance
This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the IA family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Identification and authentication policy and procedures
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with identification and authentication responsibilities
organizational personnel with information security responsibilities
IA-2 IDENTIFICATION AND AUTHENTICATION (ORGANIZATIONAL USERS)
Control
|
The information system uniquely identifies and authenticates organizational users (or processes acting on behalf of organizational users). |
Supplemental guidance
Organizational users include employees or individuals that organizations deem to have equivalent status of employees (e.g., contractors, guest researchers). This control applies to all accesses other than: (i) accesses that are explicitly identified and documented in AC-14; and (ii) accesses that occur through authorized use of group authenticators without individual authentication. Organizations may require unique identification of individuals in group accounts (e.g., shared privilege accounts) or for detailed accountability of individual activity. Organizations employ passwords, tokens, or biometrics to authenticate user identities, or in the case multifactor authentication, or some combination thereof. Access to organizational information systems is defined as either local access or network access. Local access is any access to organizational information systems by users (or processes acting on behalf of users) where such access is obtained by direct connections without the use of networks. Network access is access to organizational information systems by users (or processes acting on behalf of users) where such access is obtained through network connections (i.e., nonlocal accesses). Remote access is a type of network access that involves communication through external networks (e.g., the Internet). Internal networks include local area networks and wide area networks. In addition, the use of encrypted virtual private networks (VPNs) for network connections between organization-controlled endpoints and non-organization controlled endpoints may be treated as internal networks from the perspective of protecting the confidentiality and integrity of information traversing the network. Organizations can satisfy the identification and authentication requirements in this control by complying with the requirements in Homeland Security Presidential Directive 12 consistent with the specific organizational implementation plans. Multifactor authentication requires the use of two or more different factors to achieve authentication. The factors are defined as: (i) something you know (e.g., password, personal identification number [PIN]); (ii) something you have (e.g., cryptographic identification device, token); or (iii) something you are (e.g., biometric). Multifactor solutions that require devices separate from information systems gaining access include, for example, hardware tokens providing time-based or challenge-response authenticators and smart cards such as the U.S. Government Personal Identity Verification card and the DoD common access card. In addition to identifying and authenticating users at the information system level (i.e., at logon), organizations also employ identification and authentication mechanisms at the application level, when necessary, to provide increased information security. Identification and authentication requirements for other than organizational users are described in IA-8.
cf AC-14: PERMITTED ACTIONS WITHOUT IDENTIFICATION OR AUTHENTICATION
cf IA-4: IDENTIFIER MANAGEMENT
cf IA-5: AUTHENTICATOR MANAGEMENT
cf IA-8: IDENTIFICATION AND AUTHENTICATION (NON-ORGANIZATIONAL USERS)
Objective
|
Determine if the information system uniquely identifies and authenticates organizational users (or processes acting on behalf of organizational users). |
Assessment: EXAMINE
Identification and authentication policy
procedures addressing user identification and authentication
information system design documentation
information system configuration settings and associated documentation
information system audit records
list of information system accounts
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system operations responsibilities
organizational personnel with information security responsibilities
system/network administrators
organizational personnel with account management responsibilities
system developers
Assessment: TEST
Organizational processes for uniquely identifying and authenticating users
automated mechanisms supporting and/or implementing identification and authentication capability
Control enhancements
IA-2 (1) NETWORK ACCESS TO PRIVILEGED ACCOUNTS
Control
|
The information system implements multifactor authentication for network access to privileged accounts. |
Supplemental guidance
Objective
|
Determine if the information system implements multifactor authentication for network access to privileged accounts. |
Assessment: EXAMINE
Identification and authentication policy
procedures addressing user identification and authentication
information system design documentation
information system configuration settings and associated documentation
information system audit records
list of information system accounts
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system operations responsibilities
organizational personnel with account management responsibilities
organizational personnel with information security responsibilities
system/network administrators
system developers
Assessment: TEST
Automated mechanisms supporting and/or implementing multifactor authentication capability
IA-2 (2) NETWORK ACCESS TO NON-PRIVILEGED ACCOUNTS
Control
|
The information system implements multifactor authentication for network access to non-privileged accounts. |
Objective
|
Determine if the information system implements multifactor authentication for network access to non-privileged accounts. |
Assessment: EXAMINE
Identification and authentication policy
procedures addressing user identification and authentication
information system design documentation
information system configuration settings and associated documentation
information system audit records
list of information system accounts
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system operations responsibilities
organizational personnel with account management responsibilities
organizational personnel with information security responsibilities
system/network administrators
system developers
Assessment: TEST
Automated mechanisms supporting and/or implementing multifactor authentication capability
IA-2 (3) LOCAL ACCESS TO PRIVILEGED ACCOUNTS
Control
|
The information system implements multifactor authentication for local access to privileged accounts. |
Supplemental guidance
Objective
|
Determine if the information system implements multifactor authentication for local access to privileged accounts. |
Assessment: EXAMINE
Identification and authentication policy
procedures addressing user identification and authentication
information system design documentation
information system configuration settings and associated documentation
information system audit records
list of information system accounts
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system operations responsibilities
organizational personnel with account management responsibilities
organizational personnel with information security responsibilities
system/network administrators
system developers
Assessment: TEST
Automated mechanisms supporting and/or implementing multifactor authentication capability
IA-2 (4) LOCAL ACCESS TO NON-PRIVILEGED ACCOUNTS
Control
|
The information system implements multifactor authentication for local access to non-privileged accounts. |
Objective
|
Determine if the information system implements multifactor authentication for local access to non-privileged accounts. |
Assessment: EXAMINE
Identification and authentication policy
procedures addressing user identification and authentication
information system design documentation
information system configuration settings and associated documentation
information system audit records
list of information system accounts
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system operations responsibilities
organizational personnel with account management responsibilities
organizational personnel with information security responsibilities
system/network administrators
system developers
Assessment: TEST
Automated mechanisms supporting and/or implementing multifactor authentication capability
IA-2 (5) GROUP AUTHENTICATION
Control
|
The organization requires individuals to be authenticated with an individual authenticator when a group authenticator is employed. |
Supplemental guidance
Requiring individuals to use individual authenticators as a second level of authentication helps organizations to mitigate the risk of using group authenticators.
Objective
|
Determine if the organization requires individuals to be authenticated with an individual authenticator when a group authenticator is employed. |
Assessment: EXAMINE
Identification and authentication policy
procedures addressing user identification and authentication
information system design documentation
information system configuration settings and associated documentation
information system audit records
list of information system accounts
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system operations responsibilities
organizational personnel with account management responsibilities
organizational personnel with information security responsibilities
system/network administrators
system developers
Assessment: TEST
Automated mechanisms supporting and/or implementing authentication capability for group accounts
IA-2 (6) NETWORK ACCESS TO PRIVILEGED ACCOUNTS - SEPARATE DEVICE
Label: INSERT into ia-2..6.
Parameter: ia-2_prm_1 organization-defined strength of mechanism requirements
Control
|
The information system implements multifactor authentication for network access to privileged accounts such that one of the factors is provided by a device separate from the system gaining access and the device meets ia-2_prm_1 INSERT into ia-2..6. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Objectives
|
Determine if:
|
Assessment: EXAMINE
Identification and authentication policy
procedures addressing user identification and authentication
information system design documentation
information system configuration settings and associated documentation
information system audit records
list of information system accounts
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system operations responsibilities
organizational personnel with account management responsibilities
organizational personnel with information security responsibilities
system/network administrators
system developers
Assessment: TEST
Automated mechanisms supporting and/or implementing multifactor authentication capability
IA-2 (7) NETWORK ACCESS TO NON-PRIVILEGED ACCOUNTS - SEPARATE DEVICE
Label: INSERT into ia-2..7.
Parameter: ia-2_prm_2 organization-defined strength of mechanism requirements
Control
|
The information system implements multifactor authentication for network access to non-privileged accounts such that one of the factors is provided by a device separate from the system gaining access and the device meets ia-2_prm_2 INSERT into ia-2..7. [NO PARAMETER VALUE GIVEN] . |
Objectives
|
Determine if:
|
Assessment: EXAMINE
Identification and authentication policy
procedures addressing user identification and authentication
information system design documentation
information system configuration settings and associated documentation
information system audit records
list of information system accounts
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system operations responsibilities
organizational personnel with account management responsibilities
organizational personnel with information security responsibilities
system/network administrators
system developers
Assessment: TEST
Automated mechanisms supporting and/or implementing multifactor authentication capability
IA-2 (8) NETWORK ACCESS TO PRIVILEGED ACCOUNTS - REPLAY RESISTANT
Control
|
The information system implements replay-resistant authentication mechanisms for network access to privileged accounts. |
Supplemental guidance
Authentication processes resist replay attacks if it is impractical to achieve successful authentications by replaying previous authentication messages. Replay-resistant techniques include, for example, protocols that use nonces or challenges such as Transport Layer Security (TLS) and time synchronous or challenge-response one-time authenticators.
Objective
|
Determine if the information system implements replay-resistant authentication mechanisms for network access to privileged accounts. |
Assessment: EXAMINE
Identification and authentication policy
procedures addressing user identification and authentication
information system design documentation
information system configuration settings and associated documentation
information system audit records
list of privileged information system accounts
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system operations responsibilities
organizational personnel with account management responsibilities
organizational personnel with information security responsibilities
system/network administrators
system developers
Assessment: TEST
Automated mechanisms supporting and/or implementing identification and authentication capability
automated mechanisms supporting and/or implementing replay resistant authentication mechanisms
IA-2 (9) NETWORK ACCESS TO NON-PRIVILEGED ACCOUNTS - REPLAY RESISTANT
Control
|
The information system implements replay-resistant authentication mechanisms for network access to non-privileged accounts. |
Supplemental guidance
Authentication processes resist replay attacks if it is impractical to achieve successful authentications by recording/replaying previous authentication messages. Replay-resistant techniques include, for example, protocols that use nonces or challenges such as Transport Layer Security (TLS) and time synchronous or challenge-response one-time authenticators.
Objective
|
Determine if the information system implements replay-resistant authentication mechanisms for network access to non-privileged accounts. |
Assessment: EXAMINE
Identification and authentication policy
procedures addressing user identification and authentication
information system design documentation
information system configuration settings and associated documentation
information system audit records
list of non-privileged information system accounts
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system operations responsibilities
organizational personnel with account management responsibilities
organizational personnel with information security responsibilities
system/network administrators
system developers
Assessment: TEST
Automated mechanisms supporting and/or implementing identification and authentication capability
automated mechanisms supporting and/or implementing replay resistant authentication mechanisms
IA-2 (10) SINGLE SIGN-ON
Label: INSERT into ia-2..10.
Parameter: ia-2_prm_3 organization-defined information system accounts and services
Control
|
The information system provides a single sign-on capability for ia-2_prm_3 INSERT into ia-2..10. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Single sign-on enables users to log in once and gain access to multiple information system resources. Organizations consider the operational efficiencies provided by single sign-on capabilities with the increased risk from disclosures of single authenticators providing access to multiple system resources.
Objectives
|
Determine if:
|
Assessment: EXAMINE
Identification and authentication policy
procedures addressing single sign-on capability for information system accounts and services
procedures addressing identification and authentication
information system design documentation
information system configuration settings and associated documentation
information system audit records
list of information system accounts and services requiring single sign-on capability
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system operations responsibilities
organizational personnel with account management responsibilities
organizational personnel with information security responsibilities
system/network administrators
system developers
Assessment: TEST
Automated mechanisms supporting and/or implementing identification and authentication capability
automated mechanisms supporting and/or implementing single sign-on capability for information system accounts and services
IA-2 (11) REMOTE ACCESS - SEPARATE DEVICE
Label: INSERT into ia-2..11.
Parameter: ia-2_prm_4 organization-defined strength of mechanism requirements
Control
|
The information system implements multifactor authentication for remote access to privileged and non-privileged accounts such that one of the factors is provided by a device separate from the system gaining access and the device meets ia-2_prm_4 INSERT into ia-2..11. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
For remote access to privileged/non-privileged accounts, the purpose of requiring a device that is separate from the information system gaining access for one of the factors during multifactor authentication is to reduce the likelihood of compromising authentication credentials stored on the system. For example, adversaries deploying malicious code on organizational information systems can potentially compromise such credentials resident on the system and subsequently impersonate authorized users.
Objectives
|
Determine if:
|
Assessment: EXAMINE
Identification and authentication policy
procedures addressing user identification and authentication
information system design documentation
information system configuration settings and associated documentation
information system audit records
list of privileged and non-privileged information system accounts
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system operations responsibilities
organizational personnel with account management responsibilities
organizational personnel with information security responsibilities
system/network administrators
system developers
Assessment: TEST
Automated mechanisms supporting and/or implementing identification and authentication capability
IA-2 (12) ACCEPTANCE OF PIV CREDENTIALS
Control
|
The information system accepts and electronically verifies Personal Identity Verification (PIV) credentials. |
Supplemental guidance
This control enhancement applies to organizations implementing logical access control systems (LACS) and physical access control systems (PACS). Personal Identity Verification (PIV) credentials are those credentials issued by federal agencies that conform to FIPS Publication 201 and supporting guidance documents. OMB Memorandum 11-11 requires federal agencies to continue implementing the requirements specified in HSPD-12 to enable agency-wide use of PIV credentials.
Objectives
|
Determine if the information system:
|
Assessment: EXAMINE
Identification and authentication policy
procedures addressing user identification and authentication
information system design documentation
information system configuration settings and associated documentation
information system audit records
PIV verification records
evidence of PIV credentials
PIV credential authorizations
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system operations responsibilities
organizational personnel with account management responsibilities
organizational personnel with information security responsibilities
system/network administrators
system developers
Assessment: TEST
Automated mechanisms supporting and/or implementing acceptance and verification of PIV credentials
IA-2 (13) OUT-OF-BAND AUTHENTICATION
Label: INSERT into ia-2..13.
Parameter: ia-2_prm_5 organization-defined out-of-band authentication
Label: INSERT into ia-2..13.
Parameter: ia-2_prm_6 organization-defined conditions
Control
|
The information system implements ia-2_prm_5 INSERT into ia-2..13. [NO PARAMETER VALUE GIVEN] under ia-2_prm_6 INSERT into ia-2..13. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Out-of-band authentication (OOBA) refers to the use of two separate communication paths to identify and authenticate users or devices to an information system. The first path (i.e., the in-band path), is used to identify and authenticate users or devices, and generally is the path through which information flows. The second path (i.e., the out-of-band path) is used to independently verify the authentication and/or requested action. For example, a user authenticates via a notebook computer to a remote server to which the user desires access, and requests some action of the server via that communication path. Subsequently, the server contacts the user via the user’s cell phone to verify that the requested action originated from the user. The user may either confirm the intended action to an individual on the telephone or provide an authentication code via the telephone. This type of authentication can be employed by organizations to mitigate actual or suspected man-in the-middle attacks. The conditions for activation can include, for example, suspicious activities, new threat indicators or elevated threat levels, or the impact level or classification level of information in requested transactions.
Objectives
|
Determine if:
|
Assessment: EXAMINE
Identification and authentication policy
procedures addressing user identification and authentication
information system design documentation
information system configuration settings and associated documentation
information system audit records
system-generated list of out-of-band authentication paths
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system operations responsibilities
organizational personnel with account management responsibilities
organizational personnel with information security responsibilities
system/network administrators
system developers
Assessment: TEST
Automated mechanisms supporting and/or implementing out-of-band authentication capability
IA-3 DEVICE IDENTIFICATION AND AUTHENTICATION
Label: INSERT into ia-3
Parameter: ia-3_prm_1 organization-defined specific and/or types of devices
Label: SELECT for { ancestor-or-self::*[@id][1]/@id }
local
remote
network
Control
|
The information system uniquely identifies and authenticates ia-3_prm_1 INSERT into ia-3 [NO PARAMETER VALUE GIVEN] before establishing a ia-3_prm_2 SELECT for { ancestor-or-self::*[@id][1]/@id } local remote network [NO PARAMETER VALUE GIVEN] connection. |
Supplemental guidance
Organizational devices requiring unique device-to-device identification and authentication may be defined by type, by device, or by a combination of type/device. Information systems typically use either shared known information (e.g., Media Access Control [MAC] or Transmission Control Protocol/Internet Protocol [TCP/IP] addresses) for device identification or organizational authentication solutions (e.g., IEEE 802.1x and Extensible Authentication Protocol [EAP], Radius server with EAP-Transport Layer Security [TLS] authentication, Kerberos) to identify/authenticate devices on local and/or wide area networks. Organizations determine the required strength of authentication mechanisms by the security categories of information systems. Because of the challenges of applying this control on large scale, organizations are encouraged to only apply the control to those limited number (and type) of devices that truly need to support this capability.
cf AC-19: ACCESS CONTROL FOR MOBILE DEVICES
cf CA-3: SYSTEM INTERCONNECTIONS
Objectives
|
Determine if:
|
Assessment: EXAMINE
Identification and authentication policy
procedures addressing device identification and authentication
information system design documentation
list of devices requiring unique identification and authentication
device connection reports
information system configuration settings and associated documentation
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with operational responsibilities for device identification and authentication
organizational personnel with information security responsibilities
system/network administrators
system developers
Assessment: TEST
Automated mechanisms supporting and/or implementing device identification and authentication capability
Control enhancements
IA-3 (1) CRYPTOGRAPHIC BIDIRECTIONAL AUTHENTICATION
Label: INSERT into ia-3..1.
Parameter: ia-3_prm_3 organization-defined specific devices and/or types of devices
Label: SELECT for { ancestor-or-self::*[@id][1]/@id }
local
remote
network
Control
|
The information system authenticates ia-3_prm_3 INSERT into ia-3..1. [NO PARAMETER VALUE GIVEN] before establishing ia-3_prm_4 SELECT for { ancestor-or-self::*[@id][1]/@id } local remote network [NO PARAMETER VALUE GIVEN] connection using bidirectional authentication that is cryptographically based. |
Supplemental guidance
A local connection is any connection with a device communicating without the use of a network. A network connection is any connection with a device that communicates through a network (e.g., local area or wide area network, Internet). A remote connection is any connection with a device communicating through an external network (e.g., the Internet). Bidirectional authentication provides stronger safeguards to validate the identity of other devices for connections that are of greater risk (e.g., remote connections).
cf SC-8: TRANSMISSION CONFIDENTIALITY AND INTEGRITY
Objectives
|
Determine if:
|
Assessment: EXAMINE
Identification and authentication policy
procedures addressing device identification and authentication
information system design documentation
list of devices requiring unique identification and authentication
device connection reports
information system configuration settings and associated documentation
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with operational responsibilities for device identification and authentication
organizational personnel with information security responsibilities
system/network administrators
system developers
Assessment: TEST
Automated mechanisms supporting and/or implementing device authentication capability
cryptographically based bidirectional authentication mechanisms
IA-3 (2) CRYPTOGRAPHIC BIDIRECTIONAL NETWORK AUTHENTICATION
cf IA-3 (1): CRYPTOGRAPHIC BIDIRECTIONAL AUTHENTICATION
Control
|
Withdrawn: Incorporated into IA-3 (1). |
IA-3 (3) DYNAMIC ADDRESS ALLOCATION
Label: INSERT into ia-3..3._smt_a (IA-3 (3)(a))
Parameter: ia-3_prm_5 organization-defined lease information and lease duration
Control
|
The organization:
|
Supplemental guidance
DHCP-enabled clients obtaining leases for IP addresses from DHCP servers, is a typical example of dynamic address allocation for devices.
cf AU-3: CONTENT OF AUDIT RECORDS
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Identification and authentication policy
procedures addressing device identification and authentication
information system design documentation
information system configuration settings and associated documentation
evidence of lease information and lease duration assigned to devices
device connection reports
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with operational responsibilities for device identification and authentication
organizational personnel with information security responsibilities
system/network administrators
system developers
Assessment: TEST
Automated mechanisms supporting and/or implementing device identification and authentication capability
automated mechanisms supporting and/or implementing dynamic address allocation
automated mechanisms supporting and/or implanting auditing of lease information
IA-3 (4) DEVICE ATTESTATION
Label: INSERT into ia-3..4.
Parameter: ia-3_prm_6 organization-defined configuration management process
Control
|
The organization ensures that device identification and authentication based on attestation is handled by ia-3_prm_6 INSERT into ia-3..4. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Device attestation refers to the identification and authentication of a device based on its configuration and known operating state. This might be determined via some cryptographic hash of the device. If device attestation is the means of identification and authentication, then it is important that patches and updates to the device are handled via a configuration management process such that the those patches/updates are done securely and at the same time do not disrupt the identification and authentication to other devices.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Identification and authentication policy
procedures addressing device identification and authentication
procedures addressing device configuration management
information system design documentation
information system configuration settings and associated documentation
configuration management records
change control records
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with operational responsibilities for device identification and authentication
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Automated mechanisms supporting and/or implementing device identification and authentication capability
automated mechanisms supporting and/or implementing configuration management
cryptographic mechanisms supporting device attestation
References: None
IA-4 IDENTIFIER MANAGEMENT
Label: INSERT into ia-4_smt_a (IA-4a.)
Parameter: ia-4_prm_1 organization-defined personnel or roles
Label: INSERT into ia-4_smt_d (IA-4d.)
Parameter: ia-4_prm_2 organization-defined time period
Label: INSERT into ia-4_smt_e (IA-4e.)
Parameter: ia-4_prm_3 organization-defined time period of inactivity
Control
|
The organization manages information system identifiers by:
|
Supplemental guidance
Common device identifiers include, for example, media access control (MAC), Internet protocol (IP) addresses, or device-unique token identifiers. Management of individual identifiers is not applicable to shared information system accounts (e.g., guest and anonymous accounts). Typically, individual identifiers are the user names of the information system accounts assigned to those individuals. In such instances, the account management activities of AC-2 use account names provided by IA-4. This control also addresses individual identifiers not necessarily associated with information system accounts (e.g., identifiers used in physical security control databases accessed by badge reader systems for access to information systems). Preventing reuse of identifiers implies preventing the assignment of previously used individual, group, role, or device identifiers to different individuals, groups, roles, or devices.
cf IA-2: IDENTIFICATION AND AUTHENTICATION (ORGANIZATIONAL USERS)
cf IA-3: DEVICE IDENTIFICATION AND AUTHENTICATION
cf IA-5: AUTHENTICATOR MANAGEMENT
cf IA-8: IDENTIFICATION AND AUTHENTICATION (NON-ORGANIZATIONAL USERS)
Objectives
|
Determine if the organization manages information system identifiers by:
|
Assessment: EXAMINE
Identification and authentication policy
procedures addressing identifier management
procedures addressing account management
security plan
information system design documentation
information system configuration settings and associated documentation
list of information system accounts
list of identifiers generated from physical access control devices
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with identifier management responsibilities
organizational personnel with information security responsibilities
system/network administrators
system developers
Assessment: TEST
Automated mechanisms supporting and/or implementing identifier management
Control enhancements
IA-4 (1) PROHIBIT ACCOUNT IDENTIFIERS AS PUBLIC IDENTIFIERS
Control
|
The organization prohibits the use of information system account identifiers that are the same as public identifiers for individual electronic mail accounts. |
Supplemental guidance
Prohibiting the use of information systems account identifiers that are the same as some public identifier such as the individual identifier section of an electronic mail address, makes it more difficult for adversaries to guess user identifiers on organizational information systems.
Objective
|
Determine if the organization prohibits the use of information system account identifiers that are the same as public identifiers for individual electronic mail accounts. |
Assessment: EXAMINE
Identification and authentication policy
procedures addressing identifier management
procedures addressing account management
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with identifier management responsibilities
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Automated mechanisms supporting and/or implementing identifier management
IA-4 (2) SUPERVISOR AUTHORIZATION
Control
|
The organization requires that the registration process to receive an individual identifier includes supervisor authorization. |
Objective
|
Determine if the organization requires that the registration process to receive an individual identifier includes supervisor authorization. |
Assessment: EXAMINE
Identification and authentication policy
procedures addressing identifier management
procedures addressing account management
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with identifier management responsibilities
supervisors responsible for authorizing identifier registration
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Automated mechanisms supporting and/or implementing identifier management
IA-4 (3) MULTIPLE FORMS OF CERTIFICATION
Control
|
The organization requires multiple forms of certification of individual identification be presented to the registration authority. |
Supplemental guidance
Requiring multiple forms of identification, such as documentary evidence or a combination of documents and biometrics, reduces the likelihood of individuals using fraudulent identification to establish an identity, or at least increases the work factor of potential adversaries.
Objective
|
Determine if the organization requires multiple forms of certification of individual identification such as documentary evidence or a combination of documents and biometrics be presented to the registration authority. |
Assessment: EXAMINE
Identification and authentication policy
procedures addressing identifier management
procedures addressing account management
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with identifier management responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms supporting and/or implementing identifier management
IA-4 (4) IDENTIFY USER STATUS
Label: INSERT into ia-4..4.
Parameter: ia-4_prm_4 organization-defined characteristic identifying individual status
Control
|
The organization manages individual identifiers by uniquely identifying each individual as ia-4_prm_4 INSERT into ia-4..4. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Characteristics identifying the status of individuals include, for example, contractors and foreign nationals. Identifying the status of individuals by specific characteristics provides additional information about the people with whom organizational personnel are communicating. For example, it might be useful for a government employee to know that one of the individuals on an email message is a contractor.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Identification and authentication policy
procedures addressing identifier management
procedures addressing account management
list of characteristics identifying individual status
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with identifier management responsibilities
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Automated mechanisms supporting and/or implementing identifier management
IA-4 (5) DYNAMIC MANAGEMENT
Control
|
The information system dynamically manages identifiers. |
Supplemental guidance
In contrast to conventional approaches to identification which presume static accounts for preregistered users, many distributed information systems including, for example, service-oriented architectures, rely on establishing identifiers at run time for entities that were previously unknown. In these situations, organizations anticipate and provision for the dynamic establishment of identifiers. Preestablished trust relationships and mechanisms with appropriate authorities to validate identities and related credentials are essential.
Objective
|
Determine if the information system dynamically manages identifiers. |
Assessment: EXAMINE
Identification and authentication policy
procedures addressing identifier management
procedures addressing account management
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with identifier management responsibilities
organizational personnel with information security responsibilities
system/network administrators
system developers
Assessment: TEST
Automated mechanisms supporting and/or implementing dynamic identifier management
IA-4 (6) CROSS-ORGANIZATION MANAGEMENT
Label: INSERT into ia-4..6.
Parameter: ia-4_prm_5 organization-defined external organizations
Control
|
The organization coordinates with ia-4_prm_5 INSERT into ia-4..6. [NO PARAMETER VALUE GIVEN] for cross-organization management of identifiers. |
Supplemental guidance
Cross-organization identifier management provides the capability for organizations to appropriately identify individuals, groups, roles, or devices when conducting cross-organization activities involving the processing, storage, or transmission of information.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Identification and authentication policy
procedures addressing identifier management
procedures addressing account management
security plan
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with identifier management responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms supporting and/or implementing identifier management
IA-4 (7) IN-PERSON REGISTRATION
Control
|
The organization requires that the registration process to receive an individual identifier be conducted in person before a designated registration authority. |
Supplemental guidance
In-person registration reduces the likelihood of fraudulent identifiers being issued because it requires the physical presence of individuals and actual face-to-face interactions with designated registration authorities.
Objective
|
Determine if the organization requires that the registration process to receive an individual identifier be conducted in person before a designated registration authority. |
Assessment: EXAMINE
Identification and authentication policy
procedures addressing identifier management
procedures addressing account management
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with identifier management responsibilities
organizational personnel with information security responsibilities
IA-5 AUTHENTICATOR MANAGEMENT
Label: INSERT into ia-5_smt_g (IA-5g.)
Parameter: ia-5_prm_1 organization-defined time period by authenticator type
Control
|
The organization manages information system authenticators by:
|
Supplemental guidance
Individual authenticators include, for example, passwords, tokens, biometrics, PKI certificates, and key cards. Initial authenticator content is the actual content (e.g., the initial password) as opposed to requirements about authenticator content (e.g., minimum password length). In many cases, developers ship information system components with factory default authentication credentials to allow for initial installation and configuration. Default authentication credentials are often well known, easily discoverable, and present a significant security risk. The requirement to protect individual authenticators may be implemented via control PL-4 or PS-6 for authenticators in the possession of individuals and by controls AC-3, AC-6, and SC-28 for authenticators stored within organizational information systems (e.g., passwords stored in hashed or encrypted formats, files containing encrypted or hashed passwords accessible with administrator privileges). Information systems support individual authenticator management by organization-defined settings and restrictions for various authenticator characteristics including, for example, minimum password length, password composition, validation time window for time synchronous one-time tokens, and number of allowed rejections during the verification stage of biometric authentication. Specific actions that can be taken to safeguard authenticators include, for example, maintaining possession of individual authenticators, not loaning or sharing individual authenticators with others, and reporting lost, stolen, or compromised authenticators immediately. Authenticator management includes issuing and revoking, when no longer needed, authenticators for temporary access such as that required for remote maintenance. Device authenticators include, for example, certificates and passwords.
cf CM-6: CONFIGURATION SETTINGS
cf IA-2: IDENTIFICATION AND AUTHENTICATION (ORGANIZATIONAL USERS)
cf IA-4: IDENTIFIER MANAGEMENT
cf IA-8: IDENTIFICATION AND AUTHENTICATION (NON-ORGANIZATIONAL USERS)
cf SC-12: CRYPTOGRAPHIC KEY ESTABLISHMENT AND MANAGEMENT
cf SC-13: CRYPTOGRAPHIC PROTECTION
Objectives
|
Determine if the organization manages information system authenticators by:
|
Assessment: EXAMINE
Identification and authentication policy
procedures addressing authenticator management
information system design documentation
information system configuration settings and associated documentation
list of information system authenticator types
change control records associated with managing information system authenticators
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with authenticator management responsibilities
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Automated mechanisms supporting and/or implementing authenticator management capability
Control enhancements
IA-5 (1) PASSWORD-BASED AUTHENTICATION
Label: INSERT into ia-5..1._smt_a (IA-5 (1)(a))
Parameter: ia-5_prm_2 organization-defined requirements for case sensitivity, number of characters, mix of upper-case letters, lower-case letters, numbers, and special characters, including minimum requirements for each type
Label: INSERT into ia-5..1._smt_b (IA-5 (1)(b))
Parameter: ia-5_prm_3 organization-defined number
Label: INSERT into ia-5..1._smt_d (IA-5 (1)(d))
Parameter: ia-5_prm_4 organization-defined numbers for lifetime minimum, lifetime maximum
Label: INSERT into ia-5..1._smt_e (IA-5 (1)(e))
Parameter: ia-5_prm_5 organization-defined number
Control
|
The information system, for password-based authentication:
|
Supplemental guidance
This control enhancement applies to single-factor authentication of individuals using passwords as individual or group authenticators, and in a similar manner, when passwords are part of multifactor authenticators. This control enhancement does not apply when passwords are used to unlock hardware authenticators (e.g., Personal Identity Verification cards). The implementation of such password mechanisms may not meet all of the requirements in the enhancement. Cryptographically-protected passwords include, for example, encrypted versions of passwords and one-way cryptographic hashes of passwords. The number of changed characters refers to the number of changes required with respect to the total number of positions in the current password. Password lifetime restrictions do not apply to temporary passwords. To mitigate certain brute force attacks against passwords, organizations may also consider salting passwords.
Objectives
|
Determine if, for password-based authentication:
|
Assessment: EXAMINE
Identification and authentication policy
password policy
procedures addressing authenticator management
security plan
information system design documentation
information system configuration settings and associated documentation
password configurations and associated documentation
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with authenticator management responsibilities
organizational personnel with information security responsibilities
system/network administrators
system developers
Assessment: TEST
Automated mechanisms supporting and/or implementing password-based authenticator management capability
IA-5 (2) PKI-BASED AUTHENTICATION
Control
|
The information system, for PKI-based authentication:
|
Supplemental guidance
Status information for certification paths includes, for example, certificate revocation lists or certificate status protocol responses. For PIV cards, validation of certifications involves the construction and verification of a certification path to the Common Policy Root trust anchor including certificate policy processing.
Objectives
|
Determine if the information system, for PKI-based authentication:
|
Assessment: EXAMINE
Identification and authentication policy
procedures addressing authenticator management
security plan
information system design documentation
information system configuration settings and associated documentation
PKI certification validation records
PKI certification revocation lists
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with PKI-based, authenticator management responsibilities
organizational personnel with information security responsibilities
system/network administrators
system developers
Assessment: TEST
Automated mechanisms supporting and/or implementing PKI-based, authenticator management capability
IA-5 (3) IN-PERSON OR TRUSTED THIRD-PARTY REGISTRATION
Label: INSERT into ia-5..3.
Parameter: ia-5_prm_6 organization-defined types of and/or specific authenticators
Label: SELECT for { ancestor-or-self::*[@id][1]/@id }
in person
by a trusted third party
Label: INSERT into ia-5..3.
Parameter: ia-5_prm_8 organization-defined registration authority
Label: INSERT into ia-5..3.
Parameter: ia-5_prm_9 organization-defined personnel or roles
Control
|
The organization requires that the registration process to receive ia-5_prm_6 INSERT into ia-5..3. [NO PARAMETER VALUE GIVEN] be conducted ia-5_prm_7 SELECT for { ancestor-or-self::*[@id][1]/@id } in person by a trusted third party [NO PARAMETER VALUE GIVEN] before ia-5_prm_8 INSERT into ia-5..3. [NO PARAMETER VALUE GIVEN] with authorization by ia-5_prm_9 INSERT into ia-5..3. [NO PARAMETER VALUE GIVEN] . |
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Identification and authentication policy
procedures addressing authenticator management
registration process for receiving information system authenticators
list of authenticators requiring in-person registration
list of authenticators requiring trusted third party registration
authenticator registration documentation
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with authenticator management responsibilities
registration authority
organizational personnel with information security responsibilities
IA-5 (4) AUTOMATED SUPPORT FOR PASSWORD STRENGTH DETERMINATION
Label: INSERT into ia-5..4.
Parameter: ia-5_prm_10 organization-defined requirements
Control
|
The organization employs automated tools to determine if password authenticators are sufficiently strong to satisfy ia-5_prm_10 INSERT into ia-5..4. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
This control enhancement focuses on the creation of strong passwords and the characteristics of such passwords (e.g., complexity) prior to use, the enforcement of which is carried out by organizational information systems in IA-5 (1).
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Identification and authentication policy
procedures addressing authenticator management
information system design documentation
information system configuration settings and associated documentation
automated tools for evaluating password authenticators
password strength assessment results
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with authenticator management responsibilities
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Automated mechanisms supporting and/or implementing password-based authenticator management capability
automated tools for determining password strength
IA-5 (5) CHANGE AUTHENTICATORS PRIOR TO DELIVERY
Control
|
The organization requires developers/installers of information system components to provide unique authenticators or change default authenticators prior to delivery/installation. |
Supplemental guidance
This control enhancement extends the requirement for organizations to change default authenticators upon information system installation, by requiring developers and/or installers to provide unique authenticators or change default authenticators for system components prior to delivery and/or installation. However, it typically does not apply to the developers of commercial off-the-shelve information technology products. Requirements for unique authenticators can be included in acquisition documents prepared by organizations when procuring information systems or system components.
Objectives
|
Determine if the organization requires developers/installers of information system components to:
|
Assessment: EXAMINE
Identification and authentication policy
system and services acquisition policy
procedures addressing authenticator management
procedures addressing the integration of security requirements into the acquisition process
acquisition documentation
acquisition contracts for information system procurements or services
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with authenticator management responsibilities
organizational personnel with information system security, acquisition, and contracting responsibilities
system developers
Assessment: TEST
Automated mechanisms supporting and/or implementing authenticator management capability
IA-5 (6) PROTECTION OF AUTHENTICATORS
Control
|
The organization protects authenticators commensurate with the security category of the information to which use of the authenticator permits access. |
Supplemental guidance
For information systems containing multiple security categories of information without reliable physical or logical separation between categories, authenticators used to grant access to the systems are protected commensurate with the highest security category of information on the systems.
Objective
|
Determine if the organization protects authenticators commensurate with the security category of the information to which use of the authenticator permits access. |
Assessment: EXAMINE
Identification and authentication policy
procedures addressing authenticator management
security categorization documentation for the information system
security assessments of authenticator protections
risk assessment results
security plan
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with authenticator management responsibilities
organizational personnel implementing and/or maintaining authenticator protections
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Automated mechanisms supporting and/or implementing authenticator management capability
automated mechanisms protecting authenticators
IA-5 (7) NO EMBEDDED UNENCRYPTED STATIC AUTHENTICATORS
Control
|
The organization ensures that unencrypted static authenticators are not embedded in applications or access scripts or stored on function keys. |
Supplemental guidance
Organizations exercise caution in determining whether embedded or stored authenticators are in encrypted or unencrypted form. If authenticators are used in the manner stored, then those representations are considered unencrypted authenticators. This is irrespective of whether that representation is perhaps an encrypted version of something else (e.g., a password).
Objectives
|
Determine if the organization ensures that unencrypted static authenticators are not:
|
Assessment: EXAMINE
Identification and authentication policy
procedures addressing authenticator management
information system design documentation
information system configuration settings and associated documentation
logical access scripts
application code reviews for detecting unencrypted static authenticators
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with authenticator management responsibilities
organizational personnel with information security responsibilities
system/network administrators
system developers
Assessment: TEST
Automated mechanisms supporting and/or implementing authenticator management capability
automated mechanisms implementing authentication in applications
IA-5 (8) MULTIPLE INFORMATION SYSTEM ACCOUNTS
Label: INSERT into ia-5..8.
Parameter: ia-5_prm_11 organization-defined security safeguards
Control
|
The organization implements ia-5_prm_11 INSERT into ia-5..8. [NO PARAMETER VALUE GIVEN] to manage the risk of compromise due to individuals having accounts on multiple information systems. |
Supplemental guidance
When individuals have accounts on multiple information systems, there is the risk that the compromise of one account may lead to the compromise of other accounts if individuals use the same authenticators. Possible alternatives include, for example: (i) having different authenticators on all systems; (ii) employing some form of single sign-on mechanism; or (iii) including some form of one-time passwords on all systems.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Identification and authentication policy
procedures addressing authenticator management
security plan
list of individuals having accounts on multiple information systems
list of security safeguards intended to manage risk of compromise due to individuals having accounts on multiple information systems
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with authenticator management responsibilities
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Automated mechanisms supporting and/or implementing safeguards for authenticator management
IA-5 (9) CROSS-ORGANIZATION CREDENTIAL MANAGEMENT
Label: INSERT into ia-5..9.
Parameter: ia-5_prm_12 organization-defined external organizations
Control
|
The organization coordinates with ia-5_prm_12 INSERT into ia-5..9. [NO PARAMETER VALUE GIVEN] for cross-organization management of credentials. |
Supplemental guidance
Cross-organization management of credentials provides the capability for organizations to appropriately authenticate individuals, groups, roles, or devices when conducting cross-organization activities involving the processing, storage, or transmission of information.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Identification and authentication policy
procedures addressing authenticator management
procedures addressing account management
security plan
information security agreements
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with authenticator management responsibilities
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Automated mechanisms supporting and/or implementing safeguards for authenticator management
IA-5 (10) DYNAMIC CREDENTIAL ASSOCIATION
Control
|
The information system dynamically provisions identities. |
Supplemental guidance
Authentication requires some form of binding between an identity and the authenticator used to confirm the identity. In conventional approaches, this binding is established by pre-provisioning both the identity and the authenticator to the information system. For example, the binding between a username (i.e., identity) and a password (i.e., authenticator) is accomplished by provisioning the identity and authenticator as a pair in the information system. New authentication techniques allow the binding between the identity and the authenticator to be implemented outside an information system. For example, with smartcard credentials, the identity and the authenticator are bound together on the card. Using these credentials, information systems can authenticate identities that have not been pre-provisioned, dynamically provisioning the identity after authentication. In these situations, organizations can anticipate the dynamic provisioning of identities. Preestablished trust relationships and mechanisms with appropriate authorities to validate identities and related credentials are essential.
Objective
|
Determine if the information system dynamically provisions identifiers. |
Assessment: EXAMINE
Identification and authentication policy
procedures addressing identifier management
security plan
information system design documentation
automated mechanisms providing dynamic binding of identifiers and authenticators
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with identifier management responsibilities
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Automated mechanisms implementing identifier management capability
automated mechanisms implementing dynamic provisioning of identifiers
IA-5 (11) HARDWARE TOKEN-BASED AUTHENTICATION
Label: INSERT into ia-5..11.
Parameter: ia-5_prm_13 organization-defined token quality requirements
Control
|
The information system, for hardware token-based authentication, employs mechanisms that satisfy ia-5_prm_13 INSERT into ia-5..11. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Hardware token-based authentication typically refers to the use of PKI-based tokens, such as the U.S. Government Personal Identity Verification (PIV) card. Organizations define specific requirements for tokens, such as working with a particular PKI.
Objectives
|
Determine if, for hardware token-based authentication:
|
Assessment: EXAMINE
Identification and authentication policy
procedures addressing authenticator management
security plan
information system design documentation
automated mechanisms employing hardware token-based authentication for the information system
list of token quality requirements
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with authenticator management responsibilities
organizational personnel with information security responsibilities
system/network administrators
system developers
Assessment: TEST
Automated mechanisms supporting and/or implementing hardware token-based authenticator management capability
IA-5 (12) BIOMETRIC-BASED AUTHENTICATION
Label: INSERT into ia-5..12.
Parameter: ia-5_prm_14 organization-defined biometric quality requirements
Control
|
The information system, for biometric-based authentication, employs mechanisms that satisfy ia-5_prm_14 INSERT into ia-5..12. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Unlike password-based authentication which provides exact matches of user-input passwords to stored passwords, biometric authentication does not provide such exact matches. Depending upon the type of biometric and the type of collection mechanism, there is likely to be some divergence from the presented biometric and stored biometric which serves as the basis of comparison. There will likely be both false positives and false negatives when making such comparisons. The rate at which the false accept and false reject rates are equal is known as the crossover rate. Biometric quality requirements include, for example, acceptable crossover rates, as that essentially reflects the accuracy of the biometric.
Objectives
|
Determine if, for biometric-based authentication:
|
Assessment: EXAMINE
Identification and authentication policy
procedures addressing authenticator management
security plan
information system design documentation
automated mechanisms employing biometric-based authentication for the information system
list of biometric quality requirements
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with authenticator management responsibilities
organizational personnel with information security responsibilities
system/network administrators
system developers
Assessment: TEST
Automated mechanisms supporting and/or implementing biometric-based authenticator management capability
IA-5 (13) EXPIRATION OF CACHED AUTHENTICATORS
Label: INSERT into ia-5..13.
Parameter: ia-5_prm_15 organization-defined time period
Control
|
The information system prohibits the use of cached authenticators after ia-5_prm_15 INSERT into ia-5..13. [NO PARAMETER VALUE GIVEN] . |
Objectives
|
Determine if:
|
Assessment: EXAMINE
Identification and authentication policy
procedures addressing authenticator management
security plan
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with authenticator management responsibilities
organizational personnel with information security responsibilities
system/network administrators
system developers
Assessment: TEST
Automated mechanisms supporting and/or implementing authenticator management capability
IA-5 (14) MANAGING CONTENT OF PKI TRUST STORES
Control
|
The organization, for PKI-based authentication, employs a deliberate organization-wide methodology for managing the content of PKI trust stores installed across all platforms including networks, operating systems, browsers, and applications. |
Objectives
|
Determine if the organization, for PKI-based authentication, employs a deliberate organization-wide methodology for managing the content of PKI trust stores installed across all platforms including:
|
Assessment: EXAMINE
Identification and authentication policy
procedures addressing authenticator management
security plan
organizational methodology for managing content of PKI trust stores across installed all platforms
information system design documentation
information system configuration settings and associated documentation
enterprise security architecture documentation
enterprise architecture documentation
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with authenticator management responsibilities
organizational personnel with information security responsibilities
system/network administrators
system developers
Assessment: TEST
Automated mechanisms supporting and/or implementing PKI-based authenticator management capability
automated mechanisms supporting and/or implementing the PKI trust store capability
IA-5 (15) FICAM-APPROVED PRODUCTS AND SERVICES
Control
|
The organization uses only FICAM-approved path discovery and validation products and services. |
Supplemental guidance
Federal Identity, Credential, and Access Management (FICAM)-approved path discovery and validation products and services are those products and services that have been approved through the FICAM conformance program, where applicable.
Objective
|
Determine if the organization uses only FICAM-approved path discovery and validation products and services. |
Assessment: EXAMINE
Identification and authentication policy
procedures addressing identifier management
security plan
information system design documentation
automated mechanisms providing dynamic binding of identifiers and authenticators
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with identification and authentication management responsibilities
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Automated mechanisms supporting and/or implementing account management capability
automated mechanisms supporting and/or implementing identification and authentication management capability for the information system
IA-6 AUTHENTICATOR FEEDBACK
Control
|
The information system obscures feedback of authentication information during the authentication process to protect the information from possible exploitation/use by unauthorized individuals. |
Supplemental guidance
The feedback from information systems does not provide information that would allow unauthorized individuals to compromise authentication mechanisms. For some types of information systems or system components, for example, desktops/notebooks with relatively large monitors, the threat (often referred to as shoulder surfing) may be significant. For other types of systems or components, for example, mobile devices with 2-4 inch screens, this threat may be less significant, and may need to be balanced against the increased likelihood of typographic input errors due to the small keyboards. Therefore, the means for obscuring the authenticator feedback is selected accordingly. Obscuring the feedback of authentication information includes, for example, displaying asterisks when users type passwords into input devices, or displaying feedback for a very limited time before fully obscuring it.
Objective
|
Determine if the information system obscures feedback of authentication information during the authentication process to protect the information from possible exploitation/use by unauthorized individuals. |
Assessment: EXAMINE
Identification and authentication policy
procedures addressing authenticator feedback
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information security responsibilities
system/network administrators
system developers
Assessment: TEST
Automated mechanisms supporting and/or implementing the obscuring of feedback of authentication information during authentication
References: None
IA-7 CRYPTOGRAPHIC MODULE AUTHENTICATION
Control
|
The information system implements mechanisms for authentication to a cryptographic module that meet the requirements of applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance for such authentication. |
Supplemental guidance
Authentication mechanisms may be required within a cryptographic module to authenticate an operator accessing the module and to verify that the operator is authorized to assume the requested role and perform services within that role.
Objective
|
Determine if the information system implements mechanisms for authentication to a cryptographic module that meet the requirements of applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance for such authentication. |
Assessment: EXAMINE
Identification and authentication policy
procedures addressing cryptographic module authentication
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibility for cryptographic module authentication
organizational personnel with information security responsibilities
system/network administrators
system developers
Assessment: TEST
Automated mechanisms supporting and/or implementing cryptographic module authentication
IA-8 IDENTIFICATION AND AUTHENTICATION (NON-ORGANIZATIONAL USERS)
Control
|
The information system uniquely identifies and authenticates non-organizational users (or processes acting on behalf of non-organizational users). |
Supplemental guidance
Non-organizational users include information system users other than organizational users explicitly covered by IA-2. These individuals are uniquely identified and authenticated for accesses other than those accesses explicitly identified and documented in AC-14. In accordance with the E-Authentication E-Government initiative, authentication of non-organizational users accessing federal information systems may be required to protect federal, proprietary, or privacy-related information (with exceptions noted for national security systems). Organizations use risk assessments to determine authentication needs and consider scalability, practicality, and security in balancing the need to ensure ease of use for access to federal information and information systems with the need to protect and adequately mitigate risk. IA-2 addresses identification and authentication requirements for access to information systems by organizational users.
cf AC-14: PERMITTED ACTIONS WITHOUT IDENTIFICATION OR AUTHENTICATION
cf IA-2: IDENTIFICATION AND AUTHENTICATION (ORGANIZATIONAL USERS)
cf IA-4: IDENTIFIER MANAGEMENT
cf IA-5: AUTHENTICATOR MANAGEMENT
Objective
|
Determine if the information system uniquely identifies and authenticates non-organizational users (or processes acting on behalf of non-organizational users). |
Assessment: EXAMINE
Identification and authentication policy
procedures addressing user identification and authentication
information system design documentation
information system configuration settings and associated documentation
information system audit records
list of information system accounts
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system operations responsibilities
organizational personnel with information security responsibilities
system/network administrators
organizational personnel with account management responsibilities
Assessment: TEST
Automated mechanisms supporting and/or implementing identification and authentication capability
Control enhancements
IA-8 (1) ACCEPTANCE OF PIV CREDENTIALS FROM OTHER AGENCIES
Control
|
The information system accepts and electronically verifies Personal Identity Verification (PIV) credentials from other federal agencies. |
Supplemental guidance
This control enhancement applies to logical access control systems (LACS) and physical access control systems (PACS). Personal Identity Verification (PIV) credentials are those credentials issued by federal agencies that conform to FIPS Publication 201 and supporting guidance documents. OMB Memorandum 11-11 requires federal agencies to continue implementing the requirements specified in HSPD-12 to enable agency-wide use of PIV credentials.
Objectives
|
Determine if the information system:
|
Assessment: EXAMINE
Identification and authentication policy
procedures addressing user identification and authentication
information system design documentation
information system configuration settings and associated documentation
information system audit records
PIV verification records
evidence of PIV credentials
PIV credential authorizations
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system operations responsibilities
organizational personnel with information security responsibilities
system/network administrators
system developers
organizational personnel with account management responsibilities
Assessment: TEST
Automated mechanisms supporting and/or implementing identification and authentication capability
automated mechanisms that accept and verify PIV credentials
IA-8 (2) ACCEPTANCE OF THIRD-PARTY CREDENTIALS
Control
|
The information system accepts only FICAM-approved third-party credentials. |
Supplemental guidance
This control enhancement typically applies to organizational information systems that are accessible to the general public, for example, public-facing websites. Third-party credentials are those credentials issued by nonfederal government entities approved by the Federal Identity, Credential, and Access Management (FICAM) Trust Framework Solutions initiative. Approved third-party credentials meet or exceed the set of minimum federal government-wide technical, security, privacy, and organizational maturity requirements. This allows federal government relying parties to trust such credentials at their approved assurance levels.
Objective
|
Determine if the information system accepts only FICAM-approved third-party credentials. |
Assessment: EXAMINE
Identification and authentication policy
procedures addressing user identification and authentication
information system design documentation
information system configuration settings and associated documentation
information system audit records
list of FICAM-approved, third-party credentialing products, components, or services procured and implemented by organization
third-party credential verification records
evidence of FICAM-approved third-party credentials
third-party credential authorizations
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system operations responsibilities
organizational personnel with information security responsibilities
system/network administrators
system developers
organizational personnel with account management responsibilities
Assessment: TEST
Automated mechanisms supporting and/or implementing identification and authentication capability
automated mechanisms that accept FICAM-approved credentials
IA-8 (3) USE OF FICAM-APPROVED PRODUCTS
Label: INSERT into ia-8..3.
Parameter: ia-8_prm_1 organization-defined information systems
Control
|
The organization employs only FICAM-approved information system components in ia-8_prm_1 INSERT into ia-8..3. [NO PARAMETER VALUE GIVEN] to accept third-party credentials. |
Supplemental guidance
This control enhancement typically applies to information systems that are accessible to the general public, for example, public-facing websites. FICAM-approved information system components include, for example, information technology products and software libraries that have been approved by the Federal Identity, Credential, and Access Management conformance program.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Identification and authentication policy
system and services acquisition policy
procedures addressing user identification and authentication
procedures addressing the integration of security requirements into the acquisition process
information system design documentation
information system configuration settings and associated documentation
information system audit records
third-party credential validations
third-party credential authorizations
third-party credential records
list of FICAM-approved information system components procured and implemented by organization
acquisition documentation
acquisition contracts for information system procurements or services
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system operations responsibilities
system/network administrators
organizational personnel with account management responsibilities
organizational personnel with information system security, acquisition, and contracting responsibilities
Assessment: TEST
Automated mechanisms supporting and/or implementing identification and authentication capability
IA-8 (4) USE OF FICAM-ISSUED PROFILES
Control
|
The information system conforms to FICAM-issued profiles. |
Supplemental guidance
This control enhancement addresses open identity management standards. To ensure that these standards are viable, robust, reliable, sustainable (e.g., available in commercial information technology products), and interoperable as documented, the United States Government assesses and scopes identity management standards and technology implementations against applicable federal legislation, directives, policies, and requirements. The result is FICAM-issued implementation profiles of approved protocols (e.g., FICAM authentication protocols such as SAML 2.0 and OpenID 2.0, as well as other protocols such as the FICAM Backend Attribute Exchange).
Objective
|
Determine if the information system conforms to FICAM-issued profiles. |
Assessment: EXAMINE
Identification and authentication policy
system and services acquisition policy
procedures addressing user identification and authentication
procedures addressing the integration of security requirements into the acquisition process
information system design documentation
information system configuration settings and associated documentation
information system audit records
list of FICAM-issued profiles and associated, approved protocols
acquisition documentation
acquisition contracts for information system procurements or services
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system operations responsibilities
organizational personnel with information security responsibilities
system/network administrators
system developers
organizational personnel with account management responsibilities
Assessment: TEST
Automated mechanisms supporting and/or implementing identification and authentication capability
automated mechanisms supporting and/or implementing conformance with FICAM-issued profiles
IA-8 (5) ACCEPTANCE OF PIV-I CREDENTIALS
Control
|
The information system accepts and electronically verifies Personal Identity Verification-I (PIV-I) credentials. |
Supplemental guidance
This control enhancement: (i) applies to logical and physical access control systems; and (ii) addresses Non-Federal Issuers (NFIs) of identity cards that desire to interoperate with United States Government Personal Identity Verification (PIV) information systems and that can be trusted by federal government-relying parties. The X.509 certificate policy for the Federal Bridge Certification Authority (FBCA) addresses PIV-I requirements. The PIV-I card is suitable for Assurance Level 4 as defined in OMB Memorandum 04-04 and NIST Special Publication 800-63, and multifactor authentication as defined in NIST Special Publication 800-116. PIV-I credentials are those credentials issued by a PIV-I provider whose PIV-I certificate policy maps to the Federal Bridge PIV-I Certificate Policy. A PIV-I provider is cross-certified (directly or through another PKI bridge) with the FBCA with policies that have been mapped and approved as meeting the requirements of the PIV-I policies defined in the FBCA certificate policy.
Objectives
|
Determine if the information system:
|
Assessment: EXAMINE
Identification and authentication policy
procedures addressing user identification and authentication
information system design documentation
information system configuration settings and associated documentation
information system audit records
PIV-I verification records
evidence of PIV-I credentials
PIV-I credential authorizations
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system operations responsibilities
organizational personnel with information security responsibilities
system/network administrators
system developers
organizational personnel with account management responsibilities
Assessment: TEST
Automated mechanisms supporting and/or implementing identification and authentication capability
automated mechanisms that accept and verify PIV-I credentials
IA-9 SERVICE IDENTIFICATION AND AUTHENTICATION
Label: INSERT into ia-9
Parameter: ia-9_prm_1 organization-defined information system services
Label: INSERT into ia-9
Parameter: ia-9_prm_2 organization-defined security safeguards
Control
|
The organization identifies and authenticates ia-9_prm_1 INSERT into ia-9 [NO PARAMETER VALUE GIVEN] using ia-9_prm_2 INSERT into ia-9 [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
This control supports service-oriented architectures and other distributed architectural approaches requiring the identification and authentication of information system services. In such architectures, external services often appear dynamically. Therefore, information systems should be able to determine in a dynamic manner, if external providers and associated services are authentic. Safeguards implemented by organizational information systems to validate provider and service authenticity include, for example, information or code signing, provenance graphs, and/or electronic signatures indicating or including the sources of services.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Identification and authentication policy
procedures addressing service identification and authentication
security plan
information system design documentation
security safeguards used to identify and authenticate information system services
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system operations responsibilities
organizational personnel with information security responsibilities
system/network administrators
system developers
organizational personnel with identification and authentication responsibilities
Assessment: TEST
Security safeguards implementing service identification and authentication capability
Control enhancements
IA-9 (1) INFORMATION EXCHANGE
Control
|
The organization ensures that service providers receive, validate, and transmit identification and authentication information. |
Objectives
|
Determine if the organization ensures that service providers:
|
Assessment: EXAMINE
Identification and authentication policy
procedures addressing service identification and authentication
security plan
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with identification and authentication responsibilities
organizational personnel with information security responsibilities
system/network administrators
service providers
Assessment: TEST
Automated mechanisms implementing service identification and authentication capabilities
IA-9 (2) TRANSMISSION OF DECISIONS
Label: INSERT into ia-9..2.
Parameter: ia-9_prm_3 organization-defined services
Control
|
The organization ensures that identification and authentication decisions are transmitted between ia-9_prm_3 INSERT into ia-9..2. [NO PARAMETER VALUE GIVEN] consistent with organizational policies. |
Supplemental guidance
For distributed architectures (e.g., service-oriented architectures), the decisions regarding the validation of identification and authentication claims may be made by services separate from the services acting on those decisions. In such situations, it is necessary to provide the identification and authentication decisions (as opposed to the actual identifiers and authenticators) to the services that need to act on those decisions.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Identification and authentication policy
procedures addressing service identification and authentication
security plan
information system design documentation
information system configuration settings and associated documentation
information system audit records
transmission records
transmission verification records
rules for identification and authentication transmission decisions between organizational services
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with identification and authentication responsibilities
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Automated mechanisms implementing service identification and authentication capabilities
References: None
IA-10 ADAPTIVE IDENTIFICATION AND AUTHENTICATION
Label: INSERT into ia-10
Parameter: ia-10_prm_1 organization-defined supplemental authentication techniques or mechanisms
Label: INSERT into ia-10
Parameter: ia-10_prm_2 organization-defined circumstances or situations
Control
|
The organization requires that individuals accessing the information system employ ia-10_prm_1 INSERT into ia-10 [NO PARAMETER VALUE GIVEN] under specific ia-10_prm_2 INSERT into ia-10 [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Adversaries may compromise individual authentication mechanisms and subsequently attempt to impersonate legitimate users. This situation can potentially occur with any authentication mechanisms employed by organizations. To address this threat, organizations may employ specific techniques/mechanisms and establish protocols to assess suspicious behavior (e.g., individuals accessing information that they do not typically access as part of their normal duties, roles, or responsibilities, accessing greater quantities of information than the individuals would routinely access, or attempting to access information from suspicious network addresses). In these situations when certain preestablished conditions or triggers occur, organizations can require selected individuals to provide additional authentication information. Another potential use for adaptive identification and authentication is to increase the strength of mechanism based on the number and/or types of records being accessed.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Identification and authentication policy
procedures addressing adaptive/ supplemental identification and authentication techniques or mechanisms
security plan
information system design documentation
information system configuration settings and associated documentation
supplemental identification and authentication techniques or mechanisms
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system operations responsibilities
organizational personnel with information security responsibilities
system/network administrators
system developers
organizational personnel with identification and authentication responsibilities
Assessment: TEST
Automated mechanisms supporting and/or implementing identification and authentication capability
References: None
IA-11 RE-AUTHENTICATION
Label: INSERT into ia-11
Parameter: ia-11_prm_1 organization-defined circumstances or situations requiring re-authentication
Control
|
The organization requires users and devices to re-authenticate when ia-11_prm_1 INSERT into ia-11 [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
In addition to the re-authentication requirements associated with session locks, organizations may require re-authentication of individuals and/or devices in other situations including, for example: (i) when authenticators change; (ii), when roles change; (iii) when security categories of information systems change; (iv), when the execution of privileged functions occurs; (v) after a fixed period of time; or (vi) periodically.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Identification and authentication policy
procedures addressing user and device re-authentication
security plan
information system design documentation
information system configuration settings and associated documentation
list of circumstances or situations requiring re-authentication
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system operations responsibilities
organizational personnel with information security responsibilities
system/network administrators
system developers
organizational personnel with identification and authentication responsibilities
Assessment: TEST
Automated mechanisms supporting and/or implementing identification and authentication capability
References: None
INCIDENT RESPONSE
IR-1 INCIDENT RESPONSE POLICY AND PROCEDURES
Label: INSERT into ir-1_smt_a (IR-1a.)
Parameter: ir-1_prm_1 organization-defined personnel or roles
Label: INSERT into ir-1_smt_b.1 (IR-1b.1.)
Parameter: ir-1_prm_2 organization-defined frequency
Label: INSERT into ir-1_smt_b.2 (IR-1b.2.)
Parameter: ir-1_prm_3 organization-defined frequency
Control
|
The organization:
|
Supplemental guidance
This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the IR family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Incident response policy and procedures
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with incident response responsibilities
organizational personnel with information security responsibilities
IR-2 INCIDENT RESPONSE TRAINING
Label: INSERT into ir-2_smt_a (IR-2a.)
Parameter: ir-2_prm_1 organization-defined time period
Label: INSERT into ir-2_smt_c (IR-2c.)
Parameter: ir-2_prm_2 organization-defined frequency
Control
|
The organization provides incident response training to information system users consistent with assigned roles and responsibilities:
|
Supplemental guidance
Incident response training provided by organizations is linked to the assigned roles and responsibilities of organizational personnel to ensure the appropriate content and level of detail is included in such training. For example, regular users may only need to know who to call or how to recognize an incident on the information system; system administrators may require additional training on how to handle/remediate incidents; and incident responders may receive more specific training on forensics, reporting, system recovery, and restoration. Incident response training includes user training in the identification and reporting of suspicious activities, both from external and internal sources.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Incident response policy
procedures addressing incident response training
incident response training curriculum
incident response training materials
security plan
incident response plan
security plan
incident response training records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with incident response training and operational responsibilities
organizational personnel with information security responsibilities
Control enhancements
IR-2 (1) SIMULATED EVENTS
Control
|
The organization incorporates simulated events into incident response training to facilitate effective response by personnel in crisis situations. |
Objective
|
Determine if the organization incorporates simulated events into incident response training to facilitate effective response by personnel in crisis situations. |
Assessment: EXAMINE
Incident response policy
procedures addressing incident response training
incident response training curriculum
incident response training materials
incident response plan
security plan
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with incident response training and operational responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms that support and/or implement simulated events for incident response training
IR-2 (2) AUTOMATED TRAINING ENVIRONMENTS
Control
|
The organization employs automated mechanisms to provide a more thorough and realistic incident response training environment. |
Objective
|
Determine if the organization employs automated mechanisms to provide a more thorough and realistic incident response training environment. |
Assessment: EXAMINE
Incident response policy
procedures addressing incident response training
incident response training curriculum
incident response training materials
automated mechanisms supporting incident response training
incident response plan
security plan
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with incident response training and operational responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms that provide a thorough and realistic incident response training environment
IR-3 INCIDENT RESPONSE TESTING
Label: INSERT into ir-3
Parameter: ir-3_prm_1 organization-defined frequency
Label: INSERT into ir-3
Parameter: ir-3_prm_2 organization-defined tests
Control
|
The organization tests the incident response capability for the information system ir-3_prm_1 INSERT into ir-3 [NO PARAMETER VALUE GIVEN] using ir-3_prm_2 INSERT into ir-3 [NO PARAMETER VALUE GIVEN] to determine the incident response effectiveness and documents the results. |
Supplemental guidance
Organizations test incident response capabilities to determine the overall effectiveness of the capabilities and to identify potential weaknesses or deficiencies. Incident response testing includes, for example, the use of checklists, walk-through or tabletop exercises, simulations (parallel/full interrupt), and comprehensive exercises. Incident response testing can also include a determination of the effects on organizational operations (e.g., reduction in mission capabilities), organizational assets, and individuals due to incident response.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Incident response policy
contingency planning policy
procedures addressing incident response testing
procedures addressing contingency plan testing
incident response testing material
incident response test results
incident response test plan
incident response plan
contingency plan
security plan
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with incident response testing responsibilities
organizational personnel with information security responsibilities
Control enhancements
IR-3 (1) AUTOMATED TESTING
Control
|
The organization employs automated mechanisms to more thoroughly and effectively test the incident response capability. |
Supplemental guidance
Organizations use automated mechanisms to more thoroughly and effectively test incident response capabilities, for example: (i) by providing more complete coverage of incident response issues; (ii) by selecting more realistic test scenarios and test environments; and (iii) by stressing the response capability.
Objective
|
Determine if the organization employs automated mechanisms to more thoroughly and effectively test the incident response capability. |
Assessment: EXAMINE
Incident response policy
contingency planning policy
procedures addressing incident response testing
procedures addressing contingency plan testing
incident response testing documentation
incident response test results
incident response test plan
incident response plan
contingency plan
security plan
automated mechanisms supporting incident response tests
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with incident response testing responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms that more thoroughly and effectively test the incident response capability
IR-3 (2) COORDINATION WITH RELATED PLANS
Control
|
The organization coordinates incident response testing with organizational elements responsible for related plans. |
Supplemental guidance
Organizational plans related to incident response testing include, for example, Business Continuity Plans, Contingency Plans, Disaster Recovery Plans, Continuity of Operations Plans, Crisis Communications Plans, Critical Infrastructure Plans, and Occupant Emergency Plans.
Objective
|
Determine if the organization coordinates incident response testing with organizational elements responsible for related plans. |
Assessment: EXAMINE
Incident response policy
contingency planning policy
procedures addressing incident response testing
incident response testing documentation
incident response plan
business continuity plans
contingency plans
disaster recovery plans
continuity of operations plans
crisis communications plans
critical infrastructure plans
occupant emergency plans
security plan
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with incident response testing responsibilities
organizational personnel with responsibilities for testing organizational plans related to incident response testing
organizational personnel with information security responsibilities
IR-4 INCIDENT HANDLING
Control
|
The organization:
|
Supplemental guidance
Organizations recognize that incident response capability is dependent on the capabilities of organizational information systems and the mission/business processes being supported by those systems. Therefore, organizations consider incident response as part of the definition, design, and development of mission/business processes and information systems. Incident-related information can be obtained from a variety of sources including, for example, audit monitoring, network monitoring, physical access monitoring, user/administrator reports, and reported supply chain events. Effective incident handling capability includes coordination among many organizational entities including, for example, mission/business owners, information system owners, authorizing officials, human resources offices, physical and personnel security offices, legal departments, operations personnel, procurement offices, and the risk executive (function).
cf AU-6: AUDIT REVIEW, ANALYSIS, AND REPORTING
cf CM-6: CONFIGURATION SETTINGS
cf CP-4: CONTINGENCY PLAN TESTING
cf IR-2: INCIDENT RESPONSE TRAINING
cf IR-3: INCIDENT RESPONSE TESTING
cf IR-8: INCIDENT RESPONSE PLAN
cf PE-6: MONITORING PHYSICAL ACCESS
cf SC-5: DENIAL OF SERVICE PROTECTION
cf SI-3: MALICIOUS CODE PROTECTION
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Incident response policy
contingency planning policy
procedures addressing incident handling
incident response plan
contingency plan
security plan
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with incident handling responsibilities
organizational personnel with contingency planning responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Incident handling capability for the organization
Control enhancements
IR-4 (1) AUTOMATED INCIDENT HANDLING PROCESSES
Control
|
The organization employs automated mechanisms to support the incident handling process. |
Supplemental guidance
Automated mechanisms supporting incident handling processes include, for example, online incident management systems.
Objective
|
Determine if the organization employs automated mechanisms to support the incident handling process. |
Assessment: EXAMINE
Incident response policy
procedures addressing incident handling
automated mechanisms supporting incident handling
information system design documentation
information system configuration settings and associated documentation
information system audit records
incident response plan
security plan
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with incident handling responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms that support and/or implement the incident handling process
IR-4 (2) DYNAMIC RECONFIGURATION
Label: INSERT into ir-4..2.
Parameter: ir-4_prm_1 organization-defined information system components
Control
|
The organization includes dynamic reconfiguration of ir-4_prm_1 INSERT into ir-4..2. [NO PARAMETER VALUE GIVEN] as part of the incident response capability. |
Supplemental guidance
Dynamic reconfiguration includes, for example, changes to router rules, access control lists, intrusion detection/prevention system parameters, and filter rules for firewalls and gateways. Organizations perform dynamic reconfiguration of information systems, for example, to stop attacks, to misdirect attackers, and to isolate components of systems, thus limiting the extent of the damage from breaches or compromises. Organizations include time frames for achieving the reconfiguration of information systems in the definition of the reconfiguration capability, considering the potential need for rapid response in order to effectively address sophisticated cyber threats.
cf AC-4: INFORMATION FLOW ENFORCEMENT
cf CM-2: BASELINE CONFIGURATION
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Incident response policy
procedures addressing incident handling
automated mechanisms supporting incident handling
list of system components to be dynamically reconfigured as part of incident response capability
information system design documentation
information system configuration settings and associated documentation
information system audit records
incident response plan
security plan
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with incident handling responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms that support and/or implement dynamic reconfiguration of components as part of incident response
IR-4 (3) CONTINUITY OF OPERATIONS
Label: INSERT into ir-4..3.
Parameter: ir-4_prm_2 organization-defined classes of incidents
Label: INSERT into ir-4..3.
Parameter: ir-4_prm_3 organization-defined actions to take in response to classes of incidents
Control
|
The organization identifies ir-4_prm_2 INSERT into ir-4..3. [NO PARAMETER VALUE GIVEN] and ir-4_prm_3 INSERT into ir-4..3. [NO PARAMETER VALUE GIVEN] to ensure continuation of organizational missions and business functions. |
Supplemental guidance
Classes of incidents include, for example, malfunctions due to design/implementation errors and omissions, targeted malicious attacks, and untargeted malicious attacks. Appropriate incident response actions include, for example, graceful degradation, information system shutdown, fall back to manual mode/alternative technology whereby the system operates differently, employing deceptive measures, alternate information flows, or operating in a mode that is reserved solely for when systems are under attack.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Incident response policy
procedures addressing incident handling
incident response plan
security plan
list of classes of incidents
list of appropriate incident response actions
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with incident handling responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms that support and/or implement continuity of operations
IR-4 (4) INFORMATION CORRELATION
Control
|
The organization correlates incident information and individual incident responses to achieve an organization-wide perspective on incident awareness and response. |
Supplemental guidance
Sometimes the nature of a threat event, for example, a hostile cyber attack, is such that it can only be observed by bringing together information from different sources including various reports and reporting procedures established by organizations.
Objective
|
Determine if the organization correlates incident information and individual incident responses to achieve an organization-wide perspective on incident awareness and response. |
Assessment: EXAMINE
Incident response policy
procedures addressing incident handling
incident response plan
security plan
automated mechanisms supporting incident and event correlation
information system design documentation
information system configuration settings and associated documentation
incident management correlation logs
event management correlation logs
security information and event management logs
incident management correlation reports
event management correlation reports
security information and event management reports
audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with incident handling responsibilities
organizational personnel with information security responsibilities
organizational personnel with whom incident information and individual incident responses are to be correlated
Assessment: TEST
Organizational processes for correlating incident information and individual incident responses
automated mechanisms that support and or implement correlation of incident response information with individual incident responses
IR-4 (5) AUTOMATIC DISABLING OF INFORMATION SYSTEM
Label: INSERT into ir-4..5.
Parameter: ir-4_prm_4 organization-defined security violations
Control
|
The organization implements a configurable capability to automatically disable the information system if ir-4_prm_4 INSERT into ir-4..5. [NO PARAMETER VALUE GIVEN] are detected. |
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Incident response policy
procedures addressing incident handling
automated mechanisms supporting incident handling
information system design documentation
information system configuration settings and associated documentation
incident response plan
security plan
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with incident handling responsibilities
organizational personnel with information security responsibilities
system developers
Assessment: TEST
Incident handling capability for the organization
automated mechanisms supporting and/or implementing automatic disabling of the information system
IR-4 (6) INSIDER THREATS - SPECIFIC CAPABILITIES
Control
|
The organization implements incident handling capability for insider threats. |
Supplemental guidance
While many organizations address insider threat incidents as an inherent part of their organizational incident response capability, this control enhancement provides additional emphasis on this type of threat and the need for specific incident handling capabilities (as defined within organizations) to provide appropriate and timely responses.
Objective
|
Determine if the organization implements incident handling capability for insider threats. |
Assessment: EXAMINE
Incident response policy
procedures addressing incident handling
automated mechanisms supporting incident handling
information system design documentation
information system configuration settings and associated documentation
incident response plan
security plan
audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with incident handling responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Incident handling capability for the organization
IR-4 (7) INSIDER THREATS - INTRA-ORGANIZATION COORDINATION
Label: INSERT into ir-4..7.
Parameter: ir-4_prm_5 organization-defined components or elements of the organization
Control
|
The organization coordinates incident handling capability for insider threats across ir-4_prm_5 INSERT into ir-4..7. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Incident handling for insider threat incidents (including preparation, detection and analysis, containment, eradication, and recovery) requires close coordination among a variety of organizational components or elements to be effective. These components or elements include, for example, mission/business owners, information system owners, human resources offices, procurement offices, personnel/physical security offices, operations personnel, and risk executive (function). In addition, organizations may require external support from federal, state, and local law enforcement agencies.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Incident response policy
procedures addressing incident handling
incident response plan
security plan
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with incident handling responsibilities
organizational personnel with information security responsibilities
organizational personnel/elements with whom incident handling capability is to be coordinated
Assessment: TEST
Organizational processes for coordinating incident handling
IR-4 (8) CORRELATION WITH EXTERNAL ORGANIZATIONS
Label: INSERT into ir-4..8.
Parameter: ir-4_prm_6 organization-defined external organizations
Label: INSERT into ir-4..8.
Parameter: ir-4_prm_7 organization-defined incident information
Control
|
The organization coordinates with ir-4_prm_6 INSERT into ir-4..8. [NO PARAMETER VALUE GIVEN] to correlate and share ir-4_prm_7 INSERT into ir-4..8. [NO PARAMETER VALUE GIVEN] to achieve a cross-organization perspective on incident awareness and more effective incident responses. |
Supplemental guidance
The coordination of incident information with external organizations including, for example, mission/business partners, military/coalition partners, customers, and multitiered developers, can provide significant benefits. Cross-organizational coordination with respect to incident handling can serve as an important risk management capability. This capability allows organizations to leverage critical information from a variety of sources to effectively respond to information security-related incidents potentially affecting the organization’s operations, assets, and individuals.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Incident response policy
procedures addressing incident handling
list of external organizations
records of incident handling coordination with external organizations
incident response plan
security plan
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with incident handling responsibilities
organizational personnel with information security responsibilities
personnel from external organizations with whom incident response information is to be coordinated/shared/correlated
Assessment: TEST
Organizational processes for coordinating incident handling information with external organizations
IR-4 (9) DYNAMIC RESPONSE CAPABILITY
Label: INSERT into ir-4..9.
Parameter: ir-4_prm_8 organization-defined dynamic response capabilities
Control
|
The organization employs ir-4_prm_8 INSERT into ir-4..9. [NO PARAMETER VALUE GIVEN] to effectively respond to security incidents. |
Supplemental guidance
This control enhancement addresses the deployment of replacement or new capabilities in a timely manner in response to security incidents (e.g., adversary actions during hostile cyber attacks). This includes capabilities implemented at the mission/business process level (e.g., activating alternative mission/business processes) and at the information system level.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Incident response policy
procedures addressing incident handling
automated mechanisms supporting dynamic response capabilities
information system design documentation
information system configuration settings and associated documentation
incident response plan
security plan
audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with incident handling responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for dynamic response capability
automated mechanisms supporting and/or implementing the dynamic response capability for the organization
IR-4 (10) SUPPLY CHAIN COORDINATION
Control
|
The organization coordinates incident handling activities involving supply chain events with other organizations involved in the supply chain. |
Supplemental guidance
Organizations involved in supply chain activities include, for example, system/product developers, integrators, manufacturers, packagers, assemblers, distributors, vendors, and resellers. Supply chain incidents include, for example, compromises/breaches involving information system components, information technology products, development processes or personnel, and distribution processes or warehousing facilities.
Objective
|
Determine if the organization coordinates incident handling activities involving supply chain events with other organizations involved in the supply chain. |
Assessment: EXAMINE
Incident response policy
procedures addressing supply chain coordination
acquisition contracts
service-level agreements
incident response plan
security plan
incident response plans of other organization involved in supply chain activities
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with incident handling responsibilities
organizational personnel with information security responsibilities
organizational personnel with supply chain responsibilities
IR-5 INCIDENT MONITORING
Control
|
The organization tracks and documents information system security incidents. |
Supplemental guidance
Documenting information system security incidents includes, for example, maintaining records about each incident, the status of the incident, and other pertinent information necessary for forensics, evaluating incident details, trends, and handling. Incident information can be obtained from a variety of sources including, for example, incident reports, incident response teams, audit monitoring, network monitoring, physical access monitoring, and user/administrator reports.
cf AU-6: AUDIT REVIEW, ANALYSIS, AND REPORTING
cf IR-8: INCIDENT RESPONSE PLAN
cf PE-6: MONITORING PHYSICAL ACCESS
cf SC-5: DENIAL OF SERVICE PROTECTION
cf SI-3: MALICIOUS CODE PROTECTION
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Incident response policy
procedures addressing incident monitoring
incident response records and documentation
incident response plan
security plan
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with incident monitoring responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Incident monitoring capability for the organization
automated mechanisms supporting and/or implementing tracking and documenting of system security incidents
Control enhancements
IR-5 (1) AUTOMATED TRACKING / DATA COLLECTION / ANALYSIS
Control
|
The organization employs automated mechanisms to assist in the tracking of security incidents and in the collection and analysis of incident information. |
Supplemental guidance
Automated mechanisms for tracking security incidents and collecting/analyzing incident information include, for example, the Einstein network monitoring device and monitoring online Computer Incident Response Centers (CIRCs) or other electronic databases of incidents.
Objectives
|
Determine if the organization employs automated mechanisms to assist in:
|
Assessment: EXAMINE
Incident response policy
procedures addressing incident monitoring
automated mechanisms supporting incident monitoring
information system design documentation
information system configuration settings and associated documentation
incident response plan
security plan
audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with incident monitoring responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms assisting in tracking of security incidents and in the collection and analysis of incident information
References
IR-6 INCIDENT REPORTING
Label: INSERT into ir-6_smt_a (IR-6a.)
Parameter: ir-6_prm_1 organization-defined time period
Label: INSERT into ir-6_smt_b (IR-6b.)
Parameter: ir-6_prm_2 organization-defined authorities
Control
|
The organization:
|
Supplemental guidance
The intent of this control is to address both specific incident reporting requirements within an organization and the formal incident reporting requirements for federal agencies and their subordinate organizations. Suspected security incidents include, for example, the receipt of suspicious email communications that can potentially contain malicious code. The types of security incidents reported, the content and timeliness of the reports, and the designated reporting authorities reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Current federal policy requires that all federal agencies (unless specifically exempted from such requirements) report security incidents to the United States Computer Emergency Readiness Team (US-CERT) within specified time frames designated in the US-CERT Concept of Operations for Federal Cyber Security Incident Handling.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Incident response policy
procedures addressing incident reporting
incident reporting records and documentation
incident response plan
security plan
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with incident reporting responsibilities
organizational personnel with information security responsibilities
personnel who have/should have reported incidents
personnel (authorities) to whom incident information is to be reported
Assessment: TEST
Organizational processes for incident reporting
automated mechanisms supporting and/or implementing incident reporting
Control enhancements
IR-6 (1) AUTOMATED REPORTING
Control
|
The organization employs automated mechanisms to assist in the reporting of security incidents. |
Supplemental guidance
Objective
|
Determine if the organization employs automated mechanisms to assist in the reporting of security incidents. |
Assessment: EXAMINE
Incident response policy
procedures addressing incident reporting
automated mechanisms supporting incident reporting
information system design documentation
information system configuration settings and associated documentation
incident response plan
security plan
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with incident reporting responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for incident reporting
automated mechanisms supporting and/or implementing reporting of security incidents
IR-6 (2) VULNERABILITIES RELATED TO INCIDENTS
Label: INSERT into ir-6..2.
Parameter: ir-6_prm_3 organization-defined personnel or roles
Control
|
The organization reports information system vulnerabilities associated with reported security incidents to ir-6_prm_3 INSERT into ir-6..2. [NO PARAMETER VALUE GIVEN] . |
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Incident response policy
procedures addressing incident reporting
incident response plan
security plan
security incident reports and associated information system vulnerabilities
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with incident reporting responsibilities
organizational personnel with information security responsibilities
system/network administrators
personnel to whom vulnerabilities associated with security incidents are to be reported
Assessment: TEST
Organizational processes for incident reporting
automated mechanisms supporting and/or implementing reporting of vulnerabilities associated with security incidents
IR-6 (3) COORDINATION WITH SUPPLY CHAIN
Control
|
The organization provides security incident information to other organizations involved in the supply chain for information systems or information system components related to the incident. |
Supplemental guidance
Organizations involved in supply chain activities include, for example, system/product developers, integrators, manufacturers, packagers, assemblers, distributors, vendors, and resellers. Supply chain incidents include, for example, compromises/breaches involving information system components, information technology products, development processes or personnel, and distribution processes or warehousing facilities. Organizations determine the appropriate information to share considering the value gained from support by external organizations with the potential for harm due to sensitive information being released to outside organizations of perhaps questionable trustworthiness.
Objective
|
Determine if the organization provides security incident information to other organizations involved in the supply chain for information systems or information system components related to the incident. |
Assessment: EXAMINE
Incident response policy
procedures addressing supply chain coordination
acquisition contracts
service-level agreements
incident response plan
security plan
plans of other organization involved in supply chain activities
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with incident reporting responsibilities
organizational personnel with information security responsibilities
organizational personnel with supply chain responsibilities
Assessment: TEST
Organizational processes for incident reporting
automated mechanisms supporting and/or implementing reporting of incident information involved in the supply chain
IR-7 INCIDENT RESPONSE ASSISTANCE
Control
|
The organization provides an incident response support resource, integral to the organizational incident response capability that offers advice and assistance to users of the information system for the handling and reporting of security incidents. |
Supplemental guidance
Incident response support resources provided by organizations include, for example, help desks, assistance groups, and access to forensics services, when required.
cf AT-2: SECURITY AWARENESS TRAINING
Objectives
|
Determine if the organization provides an incident response support resource:
|
Assessment: EXAMINE
Incident response policy
procedures addressing incident response assistance
incident response plan
security plan
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with incident response assistance and support responsibilities
organizational personnel with access to incident response support and assistance capability
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for incident response assistance
automated mechanisms supporting and/or implementing incident response assistance
Control enhancements
IR-7 (1) AUTOMATION SUPPORT FOR AVAILABILITY OF INFORMATION / SUPPORT
Control
|
The organization employs automated mechanisms to increase the availability of incident response-related information and support. |
Supplemental guidance
Automated mechanisms can provide a push and/or pull capability for users to obtain incident response assistance. For example, individuals might have access to a website to query the assistance capability, or conversely, the assistance capability may have the ability to proactively send information to users (general distribution or targeted) as part of increasing understanding of current response capabilities and support.
Objective
|
Determine if the organization employs automated mechanisms to increase the availability of incident response-related information and support. |
Assessment: EXAMINE
Incident response policy
procedures addressing incident response assistance
automated mechanisms supporting incident response support and assistance
information system design documentation
information system configuration settings and associated documentation
incident response plan
security plan
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with incident response support and assistance responsibilities
organizational personnel with access to incident response support and assistance capability
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for incident response assistance
automated mechanisms supporting and/or implementing an increase in the availability of incident response information and support
IR-7 (2) COORDINATION WITH EXTERNAL PROVIDERS
Control
|
The organization:
|
Supplemental guidance
External providers of information system protection capability include, for example, the Computer Network Defense program within the U.S. Department of Defense. External providers help to protect, monitor, analyze, detect, and respond to unauthorized activity within organizational information systems and networks.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Incident response policy
procedures addressing incident response assistance
incident response plan
security plan
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with incident response support and assistance responsibilities
external providers of information system protection capability
organizational personnel with information security responsibilities
References: None
IR-8 INCIDENT RESPONSE PLAN
Label: INSERT into ir-8_smt_a.8 (IR-8a.8.)
Parameter: ir-8_prm_1 organization-defined personnel or roles
Label: INSERT into ir-8_smt_b (IR-8b.)
Parameter: ir-8_prm_2 organization-defined incident response personnel (identified by name and/or by role) and organizational elements
Label: INSERT into ir-8_smt_c (IR-8c.)
Parameter: ir-8_prm_3 organization-defined frequency
Label: INSERT into ir-8_smt_e (IR-8e.)
Parameter: ir-8_prm_4 organization-defined incident response personnel (identified by name and/or by role) and organizational elements
Control
|
The organization:
|
Supplemental guidance
It is important that organizations develop and implement a coordinated approach to incident response. Organizational missions, business functions, strategies, goals, and objectives for incident response help to determine the structure of incident response capabilities. As part of a comprehensive incident response capability, organizations consider the coordination and sharing of information with external organizations, including, for example, external service providers and organizations involved in the supply chain for organizational information systems.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Incident response policy
procedures addressing incident response planning
incident response plan
records of incident response plan reviews and approvals
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with incident response planning responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational incident response plan and related organizational processes
References
IR-9 INFORMATION SPILLAGE RESPONSE
Label: INSERT into ir-9_smt_b (IR-9b.)
Parameter: ir-9_prm_1 organization-defined personnel or roles
Label: INSERT into ir-9_smt_f (IR-9f.)
Parameter: ir-9_prm_2 organization-defined actions
Control
|
The organization responds to information spills by:
|
Supplemental guidance
Information spillage refers to instances where either classified or sensitive information is inadvertently placed on information systems that are not authorized to process such information. Such information spills often occur when information that is initially thought to be of lower sensitivity is transmitted to an information system and then is subsequently determined to be of higher sensitivity. At that point, corrective action is required. The nature of the organizational response is generally based upon the degree of sensitivity of the spilled information (e.g., security category or classification level), the security capabilities of the information system, the specific nature of contaminated storage media, and the access authorizations (e.g., security clearances) of individuals with authorized access to the contaminated system. The methods used to communicate information about the spill after the fact do not involve methods directly associated with the actual spill to minimize the risk of further spreading the contamination before such contamination is isolated and eradicated.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Incident response policy
procedures addressing information spillage
incident response plan
records of information spillage alerts/notifications, list of personnel who should receive alerts of information spillage
list of actions to be performed regarding information spillage
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with incident response responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for information spillage response
automated mechanisms supporting and/or implementing information spillage response actions and related communications
Control enhancements
IR-9 (1) RESPONSIBLE PERSONNEL
Label: INSERT into ir-9..1.
Parameter: ir-9_prm_3 organization-defined personnel or roles
Control
|
The organization assigns ir-9_prm_3 INSERT into ir-9..1. [NO PARAMETER VALUE GIVEN] with responsibility for responding to information spills. |
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Incident response policy
procedures addressing information spillage
incident response plan
list of personnel responsible for responding to information spillage
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with incident response responsibilities
organizational personnel with information security responsibilities
IR-9 (2) TRAINING
Label: INSERT into ir-9..2.
Parameter: ir-9_prm_4 organization-defined frequency
Control
|
The organization provides information spillage response training ir-9_prm_4 INSERT into ir-9..2. [NO PARAMETER VALUE GIVEN] . |
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Incident response policy
procedures addressing information spillage response training
information spillage response training curriculum
information spillage response training materials
incident response plan
information spillage response training records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with incident response training responsibilities
organizational personnel with information security responsibilities
IR-9 (3) POST-SPILL OPERATIONS
Label: INSERT into ir-9..3.
Parameter: ir-9_prm_5 organization-defined procedures
Control
|
The organization implements ir-9_prm_5 INSERT into ir-9..3. [NO PARAMETER VALUE GIVEN] to ensure that organizational personnel impacted by information spills can continue to carry out assigned tasks while contaminated systems are undergoing corrective actions. |
Supplemental guidance
Correction actions for information systems contaminated due to information spillages may be very time-consuming. During those periods, personnel may not have access to the contaminated systems, which may potentially affect their ability to conduct organizational business.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Incident response policy
procedures addressing incident handling
procedures addressing information spillage
incident response plan
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with incident response responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for post-spill operations
IR-9 (4) EXPOSURE TO UNAUTHORIZED PERSONNEL
Label: INSERT into ir-9..4.
Parameter: ir-9_prm_6 organization-defined security safeguards
Control
|
The organization employs ir-9_prm_6 INSERT into ir-9..4. [NO PARAMETER VALUE GIVEN] for personnel exposed to information not within assigned access authorizations. |
Supplemental guidance
Security safeguards include, for example, making personnel exposed to spilled information aware of the federal laws, directives, policies, and/or regulations regarding the information and the restrictions imposed based on exposure to such information.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Incident response policy
procedures addressing incident handling
procedures addressing information spillage
incident response plan
security safeguards regarding information spillage/exposure to unauthorized personnel
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with incident response responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for dealing with information exposed to unauthorized personnel
automated mechanisms supporting and/or implementing safeguards for personnel exposed to information not within assigned access authorizations
References: None
IR-10 INTEGRATED INFORMATION SECURITY ANALYSIS TEAM
Control
|
The organization establishes an integrated team of forensic/malicious code analysts, tool developers, and real-time operations personnel. |
Supplemental guidance
Having an integrated team for incident response facilitates information sharing. Such capability allows organizational personnel, including developers, implementers, and operators, to leverage the team knowledge of the threat in order to implement defensive measures that will enable organizations to deter intrusions more effectively. Moreover, it promotes the rapid detection of intrusions, development of appropriate mitigations, and the deployment of effective defensive measures. For example, when an intrusion is detected, the integrated security analysis team can rapidly develop an appropriate response for operators to implement, correlate the new incident with information on past intrusions, and augment ongoing intelligence development. This enables the team to identify adversary TTPs that are linked to the operations tempo or to specific missions/business functions, and to define responsive actions in a way that does not disrupt the mission/business operations. Ideally, information security analysis teams are distributed within organizations to make the capability more resilient.
Objective
|
Determine if the organization establishes an integrated team of forensic/malicious code analyst, tool developers, and real-time operations personnel. |
Assessment: EXAMINE
Incident response policy
procedures addressing incident response planning and security analysis team integration
incident response plan
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with incident response and information security analysis responsibilities
organizational personnel with information security responsibilities
organizational personnel participating on integrated security analysis teams
References: None
MAINTENANCE
MA-1 SYSTEM MAINTENANCE POLICY AND PROCEDURES
Label: INSERT into ma-1_smt_a (MA-1a.)
Parameter: ma-1_prm_1 organization-defined personnel or roles
Label: INSERT into ma-1_smt_b.1 (MA-1b.1.)
Parameter: ma-1_prm_2 organization-defined frequency
Label: INSERT into ma-1_smt_b.2 (MA-1b.2.)
Parameter: ma-1_prm_3 organization-defined frequency
Control
|
The organization:
|
Supplemental guidance
This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the MA family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Maintenance policy and procedures
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with maintenance responsibilities
organizational personnel with information security responsibilities
MA-2 CONTROLLED MAINTENANCE
Label: INSERT into ma-2_smt_c (MA-2c.)
Parameter: ma-2_prm_1 organization-defined personnel or roles
Label: INSERT into ma-2_smt_f (MA-2f.)
Parameter: ma-2_prm_2 organization-defined maintenance-related information
Control
|
The organization:
|
Supplemental guidance
This control addresses the information security aspects of the information system maintenance program and applies to all types of maintenance to any system component (including applications) conducted by any local or nonlocal entity (e.g., in-contract, warranty, in-house, software maintenance agreement). System maintenance also includes those components not directly associated with information processing and/or data/information retention such as scanners, copiers, and printers. Information necessary for creating effective maintenance records includes, for example: (i) date and time of maintenance; (ii) name of individuals or group performing the maintenance; (iii) name of escort, if necessary; (iv) a description of the maintenance performed; and (v) information system components/equipment removed or replaced (including identification numbers, if applicable). The level of detail included in maintenance records can be informed by the security categories of organizational information systems. Organizations consider supply chain issues associated with replacement components for information systems.
cf CM-3: CONFIGURATION CHANGE CONTROL
cf CM-4: SECURITY IMPACT ANALYSIS
cf PE-16: DELIVERY AND REMOVAL
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Information system maintenance policy
procedures addressing controlled information system maintenance
maintenance records
manufacturer/vendor maintenance specifications
equipment sanitization records
media sanitization records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system maintenance responsibilities
organizational personnel with information security responsibilities
organizational personnel responsible for media sanitization
system/network administrators
Assessment: TEST
Organizational processes for scheduling, performing, documenting, reviewing, approving, and monitoring maintenance and repairs for the information system
organizational processes for sanitizing information system components
automated mechanisms supporting and/or implementing controlled maintenance
automated mechanisms implementing sanitization of information system components
Control enhancements
MA-2 (2) AUTOMATED MAINTENANCE ACTIVITIES
Control
|
The organization:
|
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Information system maintenance policy
procedures addressing controlled information system maintenance
automated mechanisms supporting information system maintenance activities
information system configuration settings and associated documentation
maintenance records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system maintenance responsibilities
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Automated mechanisms supporting and/or implementing controlled maintenance
automated mechanisms supporting and/or implementing production of records of maintenance and repair actions
References: None
MA-3 MAINTENANCE TOOLS
Control
|
The organization approves, controls, and monitors information system maintenance tools. |
Supplemental guidance
This control addresses security-related issues associated with maintenance tools used specifically for diagnostic and repair actions on organizational information systems. Maintenance tools can include hardware, software, and firmware items. Maintenance tools are potential vehicles for transporting malicious code, either intentionally or unintentionally, into a facility and subsequently into organizational information systems. Maintenance tools can include, for example, hardware/software diagnostic test equipment and hardware/software packet sniffers. This control does not cover hardware/software components that may support information system maintenance, yet are a part of the system, for example, the software implementing “ping,” “ls,” “ipconfig, or the hardware and software implementing the monitoring port of an Ethernet switch.
cf MA-2: CONTROLLED MAINTENANCE
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Information system maintenance policy
procedures addressing information system maintenance tools
information system maintenance tools and associated documentation
maintenance records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system maintenance responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for approving, controlling, and monitoring maintenance tools
automated mechanisms supporting and/or implementing approval, control, and/or monitoring of maintenance tools
Control enhancements
MA-3 (1) INSPECT TOOLS
Control
|
The organization inspects the maintenance tools carried into a facility by maintenance personnel for improper or unauthorized modifications. |
Supplemental guidance
If, upon inspection of maintenance tools, organizations determine that the tools have been modified in an improper/unauthorized manner or contain malicious code, the incident is handled consistent with organizational policies and procedures for incident handling.
Objective
|
Determine if the organization inspects the maintenance tools carried into a facility by maintenance personnel for improper or unauthorized modifications. |
Assessment: EXAMINE
Information system maintenance policy
procedures addressing information system maintenance tools
information system maintenance tools and associated documentation
maintenance tool inspection records
maintenance records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system maintenance responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for inspecting maintenance tools
automated mechanisms supporting and/or implementing inspection of maintenance tools
MA-3 (2) INSPECT MEDIA
Control
|
The organization checks media containing diagnostic and test programs for malicious code before the media are used in the information system. |
Supplemental guidance
If, upon inspection of media containing maintenance diagnostic and test programs, organizations determine that the media contain malicious code, the incident is handled consistent with organizational incident handling policies and procedures.
Objective
|
Determine if the organization checks media containing diagnostic and test programs for malicious code before the media are used in the information system. |
Assessment: EXAMINE
Information system maintenance policy
procedures addressing information system maintenance tools
information system maintenance tools and associated documentation
maintenance records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system maintenance responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational process for inspecting media for malicious code
automated mechanisms supporting and/or implementing inspection of media used for maintenance
MA-3 (3) PREVENT UNAUTHORIZED REMOVAL
Label: INSERT into ma-3..3._smt_d (MA-3 (3)(d))
Parameter: ma-3_prm_1 organization-defined personnel or roles
Control
|
The organization prevents the unauthorized removal of maintenance equipment containing organizational information by:
|
Supplemental guidance
Organizational information includes all information specifically owned by organizations and information provided to organizations in which organizations serve as information stewards.
Objectives
|
Determine if the organization prevents the unauthorized removal of maintenance equipment containing organizational information by:
|
Assessment: EXAMINE
Information system maintenance policy
procedures addressing information system maintenance tools
information system maintenance tools and associated documentation
maintenance records
equipment sanitization records
media sanitization records
exemptions for equipment removal
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system maintenance responsibilities
organizational personnel with information security responsibilities
organizational personnel responsible for media sanitization
Assessment: TEST
Organizational process for preventing unauthorized removal of information
automated mechanisms supporting media sanitization or destruction of equipment
automated mechanisms supporting verification of media sanitization
MA-3 (4) RESTRICTED TOOL USE
Control
|
The information system restricts the use of maintenance tools to authorized personnel only. |
Supplemental guidance
This control enhancement applies to information systems that are used to carry out maintenance functions.
Objective
|
Determine if the organization restricts the use of maintenance tools to authorized personnel only. |
Assessment: EXAMINE
Information system maintenance policy
procedures addressing information system maintenance tools
information system maintenance tools and associated documentation
list of personnel authorized to use maintenance tools
maintenance tool usage records
maintenance records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system maintenance responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational process for restricting use of maintenance tools
automated mechanisms supporting and/or implementing restricted use of maintenance tools
References
MA-4 NONLOCAL MAINTENANCE
Control
|
The organization:
|
Supplemental guidance
Nonlocal maintenance and diagnostic activities are those activities conducted by individuals communicating through a network, either an external network (e.g., the Internet) or an internal network. Local maintenance and diagnostic activities are those activities carried out by individuals physically present at the information system or information system component and not communicating across a network connection. Authentication techniques used in the establishment of nonlocal maintenance and diagnostic sessions reflect the network access requirements in IA-2. Typically, strong authentication requires authenticators that are resistant to replay attacks and employ multifactor authentication. Strong authenticators include, for example, PKI where certificates are stored on a token protected by a password, passphrase, or biometric. Enforcing requirements in MA-4 is accomplished in part by other controls.
cf AU-3: CONTENT OF AUDIT RECORDS
cf IA-2: IDENTIFICATION AND AUTHENTICATION (ORGANIZATIONAL USERS)
cf IA-4: IDENTIFIER MANAGEMENT
cf IA-5: AUTHENTICATOR MANAGEMENT
cf IA-8: IDENTIFICATION AND AUTHENTICATION (NON-ORGANIZATIONAL USERS)
cf MA-2: CONTROLLED MAINTENANCE
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Information system maintenance policy
procedures addressing nonlocal information system maintenance
security plan
information system design documentation
information system configuration settings and associated documentation
maintenance records
diagnostic records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system maintenance responsibilities
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Organizational processes for managing nonlocal maintenance
automated mechanisms implementing, supporting, and/or managing nonlocal maintenance
automated mechanisms for strong authentication of nonlocal maintenance diagnostic sessions
automated mechanisms for terminating nonlocal maintenance sessions and network connections
Control enhancements
MA-4 (1) AUDITING AND REVIEW
Label: INSERT into ma-4..1._smt_a (MA-4 (1)(a))
Parameter: ma-4_prm_1 organization-defined audit events
Control
|
The organization:
|
Supplemental guidance
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Information system maintenance policy
procedures addressing nonlocal information system maintenance
list of audit events
information system configuration settings and associated documentation
maintenance records
diagnostic records
audit records
reviews of maintenance and diagnostic session records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system maintenance responsibilities
organizational personnel with information security responsibilities
organizational personnel with audit and review responsibilities
system/network administrators
Assessment: TEST
Organizational processes for audit and review of nonlocal maintenance
automated mechanisms supporting and/or implementing audit and review of nonlocal maintenance
MA-4 (2) DOCUMENT NONLOCAL MAINTENANCE
Control
|
The organization documents in the security plan for the information system, the policies and procedures for the establishment and use of nonlocal maintenance and diagnostic connections. |
Objectives
|
Determine if the organization documents in the security plan for the information system:
|
Assessment: EXAMINE
Information system maintenance policy
procedures addressing non-local information system maintenance
security plan
maintenance records
diagnostic records
audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system maintenance responsibilities
organizational personnel with information security responsibilities
MA-4 (3) COMPARABLE SECURITY / SANITIZATION
Control
|
The organization:
|
Supplemental guidance
Comparable security capability on information systems, diagnostic tools, and equipment providing maintenance services implies that the implemented security controls on those systems, tools, and equipment are at least as comprehensive as the controls on the information system being serviced.
cf SA-12: SUPPLY CHAIN PROTECTION
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Information system maintenance policy
procedures addressing nonlocal information system maintenance
service provider contracts and/or service-level agreements
maintenance records
inspection records
audit records
equipment sanitization records
media sanitization records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system maintenance responsibilities
information system maintenance provider
organizational personnel with information security responsibilities
organizational personnel responsible for media sanitization
system/network administrators
Assessment: TEST
Organizational processes for comparable security and sanitization for nonlocal maintenance
organizational processes for removal, sanitization, and inspection of components serviced via nonlocal maintenance
automated mechanisms supporting and/or implementing component sanitization and inspection
MA-4 (4) AUTHENTICATION / SEPARATION OF MAINTENANCE SESSIONS
Label: INSERT into ma-4..4._smt_a (MA-4 (4)(a))
Parameter: ma-4_prm_2 organization-defined authenticators that are replay resistant
Control
|
The organization protects nonlocal maintenance sessions by:
|
Supplemental guidance
Objectives
|
Determine if the organization protects nonlocal maintenance sessions by:
|
Assessment: EXAMINE
Information system maintenance policy
procedures addressing nonlocal information system maintenance
information system design documentation
information system configuration settings and associated documentation
maintenance records
audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system maintenance responsibilities
network engineers
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Organizational processes for protecting nonlocal maintenance sessions
automated mechanisms implementing replay resistant authenticators
automated mechanisms implementing logically separated/encrypted communications paths
MA-4 (5) APPROVALS AND NOTIFICATIONS
Label: INSERT into ma-4..5._smt_a (MA-4 (5)(a))
Parameter: ma-4_prm_3 organization-defined personnel or roles
Label: INSERT into ma-4..5._smt_b (MA-4 (5)(b))
Parameter: ma-4_prm_4 organization-defined personnel or roles
Control
|
The organization:
|
Supplemental guidance
Notification may be performed by maintenance personnel. Approval of nonlocal maintenance sessions is accomplished by organizational personnel with sufficient information security and information system knowledge to determine the appropriateness of the proposed maintenance.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Information system maintenance policy
procedures addressing non-local information system maintenance
security plan
notifications supporting nonlocal maintenance sessions
maintenance records
audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system maintenance responsibilities
organizational personnel with notification responsibilities
organizational personnel with approval responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for approving and notifying personnel regarding nonlocal maintenance
automated mechanisms supporting notification and approval of nonlocal maintenance
MA-4 (6) CRYPTOGRAPHIC PROTECTION
Control
|
The information system implements cryptographic mechanisms to protect the integrity and confidentiality of nonlocal maintenance and diagnostic communications. |
Supplemental guidance
Objective
|
Determine if the information system implements cryptographic mechanisms to protect the integrity and confidentiality of nonlocal maintenance and diagnostic communications. |
Assessment: EXAMINE
Information system maintenance policy
procedures addressing non-local information system maintenance
information system design documentation
information system configuration settings and associated documentation
cryptographic mechanisms protecting nonlocal maintenance activities
maintenance records
diagnostic records
audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system maintenance responsibilities
network engineers
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Cryptographic mechanisms protecting nonlocal maintenance and diagnostic communications
MA-4 (7) REMOTE DISCONNECT VERIFICATION
Control
|
The information system implements remote disconnect verification at the termination of nonlocal maintenance and diagnostic sessions. |
Supplemental guidance
Remote disconnect verification ensures that remote connections from nonlocal maintenance sessions have been terminated and are no longer available for use.
Objective
|
Determine if the information system implements remote disconnect verification at the termination of nonlocal maintenance and diagnostic sessions. |
Assessment: EXAMINE
Information system maintenance policy
procedures addressing non-local information system maintenance
information system design documentation
information system configuration settings and associated documentation
cryptographic mechanisms protecting nonlocal maintenance activities
maintenance records
diagnostic records
audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system maintenance responsibilities
network engineers
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Automated mechanisms implementing remote disconnect verifications of terminated nonlocal maintenance and diagnostic sessions
MA-5 MAINTENANCE PERSONNEL
Control
|
The organization:
|
Supplemental guidance
This control applies to individuals performing hardware or software maintenance on organizational information systems, while PE-2 addresses physical access for individuals whose maintenance duties place them within the physical protection perimeter of the systems (e.g., custodial staff, physical plant maintenance personnel). Technical competence of supervising individuals relates to the maintenance performed on the information systems while having required access authorizations refers to maintenance on and near the systems. Individuals not previously identified as authorized maintenance personnel, such as information technology manufacturers, vendors, systems integrators, and consultants, may require privileged access to organizational information systems, for example, when required to conduct maintenance activities with little or no notice. Based on organizational assessments of risk, organizations may issue temporary credentials to these individuals. Temporary credentials may be for one-time use or for very limited time periods.
cf IA-8: IDENTIFICATION AND AUTHENTICATION (NON-ORGANIZATIONAL USERS)
cf PE-2: PHYSICAL ACCESS AUTHORIZATIONS
cf PE-3: PHYSICAL ACCESS CONTROL
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Information system maintenance policy
procedures addressing maintenance personnel
service provider contracts
service-level agreements
list of authorized personnel
maintenance records
access control records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system maintenance responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for authorizing and managing maintenance personnel
automated mechanisms supporting and/or implementing authorization of maintenance personnel
Control enhancements
MA-5 (1) INDIVIDUALS WITHOUT APPROPRIATE ACCESS
Control
|
The organization:
|
Supplemental guidance
This control enhancement denies individuals who lack appropriate security clearances (i.e., individuals who do not possess security clearances or possess security clearances at a lower level than required) or who are not U.S. citizens, visual and electronic access to any classified information, Controlled Unclassified Information (CUI), or any other sensitive information contained on organizational information systems. Procedures for the use of maintenance personnel can be documented in security plans for the information systems.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Information system maintenance policy
procedures addressing maintenance personnel
information system media protection policy
physical and environmental protection policy
security plan
list of maintenance personnel requiring escort/supervision
maintenance records
access control records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system maintenance responsibilities
organizational personnel with personnel security responsibilities
organizational personnel with physical access control responsibilities
organizational personnel with information security responsibilities
organizational personnel responsible for media sanitization
system/network administrators
Assessment: TEST
Organizational processes for managing maintenance personnel without appropriate access
automated mechanisms supporting and/or implementing alternative security safeguards
automated mechanisms supporting and/or implementing information storage component sanitization
MA-5 (2) SECURITY CLEARANCES FOR CLASSIFIED SYSTEMS
Control
|
The organization ensures that personnel performing maintenance and diagnostic activities on an information system processing, storing, or transmitting classified information possess security clearances and formal access approvals for at least the highest classification level and for all compartments of information on the system. |
Supplemental guidance
Objectives
|
Determine if the organization ensures that personnel performing maintenance and diagnostic activities on an information system processing, storing, or transmitting classified information possess:
|
Assessment: EXAMINE
Information system maintenance policy
procedures addressing maintenance personnel
personnel records
maintenance records
access control records
access credentials
access authorizations
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system maintenance responsibilities
organizational personnel with personnel security responsibilities
organizational personnel with physical access control responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for managing security clearances for maintenance personnel
MA-5 (3) CITIZENSHIP REQUIREMENTS FOR CLASSIFIED SYSTEMS
Control
|
The organization ensures that personnel performing maintenance and diagnostic activities on an information system processing, storing, or transmitting classified information are U.S. citizens. |
Supplemental guidance
Objective
|
Determine if the organization ensures that personnel performing maintenance and diagnostic activities on an information system processing, storing, or transmitting classified information are U.S. citizens. |
Assessment: EXAMINE
Information system maintenance policy
procedures addressing maintenance personnel
personnel records
maintenance records
access control records
access credentials
access authorizations
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system maintenance responsibilities
organizational personnel with personnel security responsibilities
organizational personnel with information security responsibilities
MA-5 (4) FOREIGN NATIONALS
Control
|
The organization ensures that:
|
Supplemental guidance
Objectives
|
Determine if the organization ensures that:
|
Assessment: EXAMINE
Information system maintenance policy
procedures addressing maintenance personnel
information system media protection policy
access control policy and procedures
physical and environmental protection policy and procedures
memorandum of agreement
maintenance records
access control records
access credentials
access authorizations
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system maintenance responsibilities, organizational personnel with personnel security responsibilities
organizational personnel managing memoranda of agreements
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for managing foreign national maintenance personnel
MA-5 (5) NONSYSTEM-RELATED MAINTENANCE
Control
|
The organization ensures that non-escorted personnel performing maintenance activities not directly associated with the information system but in the physical proximity of the system, have required access authorizations. |
Supplemental guidance
Personnel performing maintenance activities in other capacities not directly related to the information system include, for example, physical plant personnel and janitorial personnel.
Objective
|
Determine if the organization ensures that non-escorted personnel performing maintenance activities not directly associated with the information system but in the physical proximity of the system, have required access authorizations. |
Assessment: EXAMINE
Information system maintenance policy
procedures addressing maintenance personnel
information system media protection policy
access control policy and procedures
physical and environmental protection policy and procedures
maintenance records
access control records
access authorizations
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system maintenance responsibilities
organizational personnel with personnel security responsibilities
organizational personnel with physical access control responsibilities
organizational personnel with information security responsibilities
References: None
MA-6 TIMELY MAINTENANCE
Label: INSERT into ma-6
Parameter: ma-6_prm_1 organization-defined information system components
Label: INSERT into ma-6
Parameter: ma-6_prm_2 organization-defined time period
Control
|
The organization obtains maintenance support and/or spare parts for ma-6_prm_1 INSERT into ma-6 [NO PARAMETER VALUE GIVEN] within ma-6_prm_2 INSERT into ma-6 [NO PARAMETER VALUE GIVEN] of failure. |
Supplemental guidance
Organizations specify the information system components that result in increased risk to organizational operations and assets, individuals, other organizations, or the Nation when the functionality provided by those components is not operational. Organizational actions to obtain maintenance support typically include having appropriate contracts in place.
cf CM-8: INFORMATION SYSTEM COMPONENT INVENTORY
cf CP-7: ALTERNATE PROCESSING SITE
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Information system maintenance policy
procedures addressing information system maintenance
service provider contracts
service-level agreements
inventory and availability of spare parts
security plan
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system maintenance responsibilities
organizational personnel with acquisition responsibilities
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Organizational processes for ensuring timely maintenance
Control enhancements
MA-6 (1) PREVENTIVE MAINTENANCE
Label: INSERT into ma-6..1.
Parameter: ma-6_prm_3 organization-defined information system components
Label: INSERT into ma-6..1.
Parameter: ma-6_prm_4 organization-defined time intervals
Control
|
The organization performs preventive maintenance on ma-6_prm_3 INSERT into ma-6..1. [NO PARAMETER VALUE GIVEN] at ma-6_prm_4 INSERT into ma-6..1. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Preventive maintenance includes proactive care and servicing of organizational information systems components for the purpose of maintaining equipment and facilities in satisfactory operating condition. Such maintenance provides for the systematic inspection, tests, measurements, adjustments, parts replacement, detection, and correction of incipient failures either before they occur or before they develop into major defects. The primary goal of preventive maintenance is to avoid/mitigate the consequences of equipment failures. Preventive maintenance is designed to preserve and restore equipment reliability by replacing worn components before they actually fail. Methods of determining what preventive (or other) failure management policies to apply include, for example, original equipment manufacturer (OEM) recommendations, statistical failure records, requirements of codes, legislation, or regulations within a jurisdiction, expert opinion, maintenance that has already been conducted on similar equipment, or measured values and performance indications.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Information system maintenance policy
procedures addressing information system maintenance
service provider contracts
service-level agreements
security plan
maintenance records
list of system components requiring preventive maintenance
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system maintenance responsibilities
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Organizational processes for preventive maintenance
automated mechanisms supporting and/or implementing preventive maintenance
MA-6 (2) PREDICTIVE MAINTENANCE
Label: INSERT into ma-6..2.
Parameter: ma-6_prm_5 organization-defined information system components
Label: INSERT into ma-6..2.
Parameter: ma-6_prm_6 organization-defined time intervals
Control
|
The organization performs predictive maintenance on ma-6_prm_5 INSERT into ma-6..2. [NO PARAMETER VALUE GIVEN] at ma-6_prm_6 INSERT into ma-6..2. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Predictive maintenance, or condition-based maintenance, attempts to evaluate the condition of equipment by performing periodic or continuous (online) equipment condition monitoring. The goal of predictive maintenance is to perform maintenance at a scheduled point in time when the maintenance activity is most cost-effective and before the equipment loses performance within a threshold. The predictive component of predictive maintenance stems from the goal of predicting the future trend of the equipment's condition. This approach uses principles of statistical process control to determine at what point in the future maintenance activities will be appropriate. Most predictive maintenance inspections are performed while equipment is in service, thereby minimizing disruption of normal system operations. Predictive maintenance can result in substantial cost savings and higher system reliability. Predictive maintenance tends to include measurement of the item. To evaluate equipment condition, predictive maintenance utilizes nondestructive testing technologies such as infrared, acoustic (partial discharge and airborne ultrasonic), corona detection, vibration analysis, sound level measurements, oil analysis, and other specific online tests.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Information system maintenance policy
procedures addressing information system maintenance
service provider contracts
service-level agreements
security plan
maintenance records
list of system components requiring predictive maintenance
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system maintenance responsibilities
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Organizational processes for predictive maintenance
automated mechanisms supporting and/or implementing predictive maintenance
MA-6 (3) AUTOMATED SUPPORT FOR PREDICTIVE MAINTENANCE
Control
|
The organization employs automated mechanisms to transfer predictive maintenance data to a computerized maintenance management system. |
Supplemental guidance
A computerized maintenance management system maintains a computer database of information about the maintenance operations of organizations and automates processing equipment condition data in order to trigger maintenance planning, execution, and reporting.
Objective
|
Determine if the organization employs automated mechanisms to transfer predictive maintenance data to a computerized maintenance management system. |
Assessment: EXAMINE
Information system maintenance policy
procedures addressing information system maintenance
service provider contracts
service-level agreements
security plan
maintenance records
list of system components requiring predictive maintenance
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system maintenance responsibilities
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Automated mechanisms implementing the transfer of predictive maintenance data to a computerized maintenance management system
operations of the computer maintenance management system
References: None
MEDIA PROTECTION
MP-1 MEDIA PROTECTION POLICY AND PROCEDURES
Label: INSERT into mp-1_smt_a (MP-1a.)
Parameter: mp-1_prm_1 organization-defined personnel or roles
Label: INSERT into mp-1_smt_b.1 (MP-1b.1.)
Parameter: mp-1_prm_2 organization-defined frequency
Label: INSERT into mp-1_smt_b.2 (MP-1b.2.)
Parameter: mp-1_prm_3 organization-defined frequency
Control
|
The organization:
|
Supplemental guidance
This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the MP family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Media protection policy and procedures
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with media protection responsibilities
organizational personnel with information security responsibilities
MP-2 MEDIA ACCESS
Label: INSERT into mp-2
Parameter: mp-2_prm_1 organization-defined types of digital and/or non-digital media
Label: INSERT into mp-2
Parameter: mp-2_prm_2 organization-defined personnel or roles
Control
|
The organization restricts access to mp-2_prm_1 INSERT into mp-2 [NO PARAMETER VALUE GIVEN] to mp-2_prm_2 INSERT into mp-2 [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Information system media includes both digital and non-digital media. Digital media includes, for example, diskettes, magnetic tapes, external/removable hard disk drives, flash drives, compact disks, and digital video disks. Non-digital media includes, for example, paper and microfilm. Restricting non-digital media access includes, for example, denying access to patient medical records in a community hospital unless the individuals seeking access to such records are authorized healthcare providers. Restricting access to digital media includes, for example, limiting access to design specifications stored on compact disks in the media library to the project leader and the individuals on the development team.
cf IA-2: IDENTIFICATION AND AUTHENTICATION (ORGANIZATIONAL USERS)
cf PE-2: PHYSICAL ACCESS AUTHORIZATIONS
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Information system media protection policy
procedures addressing media access restrictions
access control policy and procedures
physical and environmental protection policy and procedures
media storage facilities
access control records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system media protection responsibilities
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Organizational processes for restricting information media
automated mechanisms supporting and/or implementing media access restrictions
Control enhancements
MP-2 (1) AUTOMATED RESTRICTED ACCESS
cf MP-4 (2): AUTOMATED RESTRICTED ACCESS
Control
|
Withdrawn: Incorporated into MP-4 (2). |
MP-2 (2) CRYPTOGRAPHIC PROTECTION
cf SC-28 (1): CRYPTOGRAPHIC PROTECTION
Control
|
Withdrawn: Incorporated into SC-28 (1). |
MP-3 MEDIA MARKING
Label: INSERT into mp-3_smt_b (MP-3b.)
Parameter: mp-3_prm_1 organization-defined types of information system media
Label: INSERT into mp-3_smt_b (MP-3b.)
Parameter: mp-3_prm_2 organization-defined controlled areas
Control
|
The organization:
|
Supplemental guidance
The term security marking refers to the application/use of human-readable security attributes. The term security labeling refers to the application/use of security attributes with regard to internal data structures within information systems (see AC-16). Information system media includes both digital and non-digital media. Digital media includes, for example, diskettes, magnetic tapes, external/removable hard disk drives, flash drives, compact disks, and digital video disks. Non-digital media includes, for example, paper and microfilm. Security marking is generally not required for media containing information determined by organizations to be in the public domain or to be publicly releasable. However, some organizations may require markings for public information indicating that the information is publicly releasable. Marking of information system media reflects applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Information system media protection policy
procedures addressing media marking
physical and environmental protection policy and procedures
security plan
list of information system media marking security attributes
designated controlled areas
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system media protection and marking responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for marking information media
automated mechanisms supporting and/or implementing media marking
References
MP-4 MEDIA STORAGE
Label: INSERT into mp-4_smt_a (MP-4a.)
Parameter: mp-4_prm_1 organization-defined types of digital and/or non-digital media
Label: INSERT into mp-4_smt_a (MP-4a.)
Parameter: mp-4_prm_2 organization-defined controlled areas
Control
|
The organization:
|
Supplemental guidance
Information system media includes both digital and non-digital media. Digital media includes, for example, diskettes, magnetic tapes, external/removable hard disk drives, flash drives, compact disks, and digital video disks. Non-digital media includes, for example, paper and microfilm. Physically controlling information system media includes, for example, conducting inventories, ensuring procedures are in place to allow individuals to check out and return media to the media library, and maintaining accountability for all stored media. Secure storage includes, for example, a locked drawer, desk, or cabinet, or a controlled media library. The type of media storage is commensurate with the security category and/or classification of the information residing on the media. Controlled areas are areas for which organizations provide sufficient physical and procedural safeguards to meet the requirements established for protecting information and/or information systems. For media containing information determined by organizations to be in the public domain, to be publicly releasable, or to have limited or no adverse impact on organizations or individuals if accessed by other than authorized personnel, fewer safeguards may be needed. In these situations, physical access controls provide adequate protection.
cf CP-6: ALTERNATE STORAGE SITE
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Information system media protection policy
procedures addressing media storage
physical and environmental protection policy and procedures
access control policy and procedures
security plan
information system media
designated controlled areas
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system media protection and storage responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for storing information media
automated mechanisms supporting and/or implementing secure media storage/media protection
Control enhancements
MP-4 (1) CRYPTOGRAPHIC PROTECTION
cf SC-28 (1): CRYPTOGRAPHIC PROTECTION
Control
|
Withdrawn: Incorporated into SC-28 (1). |
MP-4 (2) AUTOMATED RESTRICTED ACCESS
Control
|
The organization employs automated mechanisms to restrict access to media storage areas and to audit access attempts and access granted. |
Supplemental guidance
Automated mechanisms can include, for example, keypads on the external entries to media storage areas.
cf AU-9: PROTECTION OF AUDIT INFORMATION
Objectives
|
Determine if the organization employs automated mechanisms to:
|
Assessment: EXAMINE
Information system media protection policy
procedures addressing media storage
access control policy and procedures
physical and environmental protection policy and procedures
information system design documentation
information system configuration settings and associated documentation
media storage facilities
access control devices
access control records
audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system media protection and storage responsibilities
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Automated mechanisms restricting access to media storage areas
automated mechanisms auditing access attempts and access granted to media storage areas
MP-5 MEDIA TRANSPORT
Label: INSERT into mp-5_smt_a (MP-5a.)
Parameter: mp-5_prm_1 organization-defined types of information system media
Label: INSERT into mp-5_smt_a (MP-5a.)
Parameter: mp-5_prm_2 organization-defined security safeguards
Control
|
The organization:
|
Supplemental guidance
Information system media includes both digital and non-digital media. Digital media includes, for example, diskettes, magnetic tapes, external/removable hard disk drives, flash drives, compact disks, and digital video disks. Non-digital media includes, for example, paper and microfilm. This control also applies to mobile devices with information storage capability (e.g., smart phones, tablets, E-readers), that are transported outside of controlled areas. Controlled areas are areas or spaces for which organizations provide sufficient physical and/or procedural safeguards to meet the requirements established for protecting information and/or information systems. Physical and technical safeguards for media are commensurate with the security category or classification of the information residing on the media. Safeguards to protect media during transport include, for example, locked containers and cryptography. Cryptographic mechanisms can provide confidentiality and integrity protections depending upon the mechanisms used. Activities associated with transport include the actual transport as well as those activities such as releasing media for transport and ensuring that media enters the appropriate transport processes. For the actual transport, authorized transport and courier personnel may include individuals from outside the organization (e.g., U.S. Postal Service or a commercial transport or delivery service). Maintaining accountability of media during transport includes, for example, restricting transport activities to authorized personnel, and tracking and/or obtaining explicit records of transport activities as the media moves through the transportation system to prevent and detect loss, destruction, or tampering. Organizations establish documentation requirements for activities associated with the transport of information system media in accordance with organizational assessments of risk to include the flexibility to define different record-keeping methods for the different types of media transport as part of an overall system of transport-related records.
cf AC-19: ACCESS CONTROL FOR MOBILE DEVICES
cf CP-9: INFORMATION SYSTEM BACKUP
cf SC-8: TRANSMISSION CONFIDENTIALITY AND INTEGRITY
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Information system media protection policy
procedures addressing media storage
physical and environmental protection policy and procedures
access control policy and procedures
security plan
information system media
designated controlled areas
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system media protection and storage responsibilities
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Organizational processes for storing information media
automated mechanisms supporting and/or implementing media storage/media protection
Control enhancements
MP-5 (1) PROTECTION OUTSIDE OF CONTROLLED AREAS
Control
|
Withdrawn: Incorporated into MP-5. |
MP-5 (2) DOCUMENTATION OF ACTIVITIES
Control
|
Withdrawn: Incorporated into MP-5. |
MP-5 (3) CUSTODIANS
Control
|
The organization employs an identified custodian during transport of information system media outside of controlled areas. |
Supplemental guidance
Identified custodians provide organizations with specific points of contact during the media transport process and facilitate individual accountability. Custodial responsibilities can be transferred from one individual to another as long as an unambiguous custodian is identified at all times.
Objective
|
Determine if the organization employs an identified custodian during transport of information system media outside of controlled areas. |
Assessment: EXAMINE
Information system media protection policy
procedures addressing media transport
physical and environmental protection policy and procedures
information system media transport records
audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system media transport responsibilities
organizational personnel with information security responsibilities
MP-5 (4) CRYPTOGRAPHIC PROTECTION
Control
|
The information system implements cryptographic mechanisms to protect the confidentiality and integrity of information stored on digital media during transport outside of controlled areas. |
Supplemental guidance
This control enhancement applies to both portable storage devices (e.g., USB memory sticks, compact disks, digital video disks, external/removable hard disk drives) and mobile devices with storage capability (e.g., smart phones, tablets, E-readers).
Objective
|
Determine if the organization employs cryptographic mechanisms to protect the confidentiality and integrity of information stored on digital media during transport outside of controlled areas. |
Assessment: EXAMINE
Information system media protection policy
procedures addressing media transport
information system design documentation
information system configuration settings and associated documentation
information system media transport records
audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system media transport responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Cryptographic mechanisms protecting information on digital media during transportation outside controlled areas
MP-6 MEDIA SANITIZATION
Label: INSERT into mp-6_smt_a (MP-6a.)
Parameter: mp-6_prm_1 organization-defined information system media
Label: INSERT into mp-6_smt_a (MP-6a.)
Parameter: mp-6_prm_2 organization-defined sanitization techniques and procedures
Control
|
The organization:
|
Supplemental guidance
This control applies to all information system media, both digital and non-digital, subject to disposal or reuse, whether or not the media is considered removable. Examples include media found in scanners, copiers, printers, notebook computers, workstations, network components, and mobile devices. The sanitization process removes information from the media such that the information cannot be retrieved or reconstructed. Sanitization techniques, including clearing, purging, cryptographic erase, and destruction, prevent the disclosure of information to unauthorized individuals when such media is reused or released for disposal. Organizations determine the appropriate sanitization methods recognizing that destruction is sometimes necessary when other methods cannot be applied to media requiring sanitization. Organizations use discretion on the employment of approved sanitization techniques and procedures for media containing information deemed to be in the public domain or publicly releasable, or deemed to have no adverse impact on organizations or individuals if released for reuse or disposal. Sanitization of non-digital media includes, for example, removing a classified appendix from an otherwise unclassified document, or redacting selected sections or words from a document by obscuring the redacted sections/words in a manner equivalent in effectiveness to removing them from the document. NSA standards and policies control the sanitization process for media containing classified information.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Information system media protection policy
procedures addressing media sanitization and disposal
applicable federal standards and policies addressing media sanitization
media sanitization records
audit records
information system design documentation
information system configuration settings and associated documentation
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with media sanitization responsibilities
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Organizational processes for media sanitization
automated mechanisms supporting and/or implementing media sanitization
Control enhancements
MP-6 (1) REVIEW / APPROVE / TRACK / DOCUMENT / VERIFY
Control
|
The organization reviews, approves, tracks, documents, and verifies media sanitization and disposal actions. |
Supplemental guidance
Organizations review and approve media to be sanitized to ensure compliance with records-retention policies. Tracking/documenting actions include, for example, listing personnel who reviewed and approved sanitization and disposal actions, types of media sanitized, specific files stored on the media, sanitization methods used, date and time of the sanitization actions, personnel who performed the sanitization, verification actions taken, personnel who performed the verification, and disposal action taken. Organizations verify that the sanitization of the media was effective prior to disposal.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Information system media protection policy
procedures addressing media sanitization and disposal
media sanitization and disposal records
review records for media sanitization and disposal actions
approvals for media sanitization and disposal actions
tracking records
verification records
audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system media sanitization and disposal responsibilities
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Organizational processes for media sanitization
automated mechanisms supporting and/or implementing media sanitization
MP-6 (2) EQUIPMENT TESTING
Label: INSERT into mp-6..2.
Parameter: mp-6_prm_3 organization-defined frequency
Control
|
The organization tests sanitization equipment and procedures mp-6_prm_3 INSERT into mp-6..2. [NO PARAMETER VALUE GIVEN] to verify that the intended sanitization is being achieved. |
Supplemental guidance
Testing of sanitization equipment and procedures may be conducted by qualified and authorized external entities (e.g., other federal agencies or external service providers).
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Information system media protection policy
procedures addressing media sanitization and disposal
procedures addressing testing of media sanitization equipment
results of media sanitization equipment and procedures testing
audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system media sanitization responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for media sanitization
automated mechanisms supporting and/or implementing media sanitization
MP-6 (3) NONDESTRUCTIVE TECHNIQUES
Label: INSERT into mp-6..3.
Parameter: mp-6_prm_4 organization-defined circumstances requiring sanitization of portable storage devices
Control
|
The organization applies nondestructive sanitization techniques to portable storage devices prior to connecting such devices to the information system under the following circumstances: mp-6_prm_4 INSERT into mp-6..3. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
This control enhancement applies to digital media containing classified information and Controlled Unclassified Information (CUI). Portable storage devices can be the source of malicious code insertions into organizational information systems. Many of these devices are obtained from unknown and potentially untrustworthy sources and may contain malicious code that can be readily transferred to information systems through USB ports or other entry portals. While scanning such storage devices is always recommended, sanitization provides additional assurance that the devices are free of malicious code to include code capable of initiating zero-day attacks. Organizations consider nondestructive sanitization of portable storage devices when such devices are first purchased from the manufacturer or vendor prior to initial use or when organizations lose a positive chain of custody for the devices.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Information system media protection policy
procedures addressing media sanitization and disposal
list of circumstances requiring sanitization of portable storage devices
media sanitization records
audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system media sanitization responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for media sanitization of portable storage devices
automated mechanisms supporting and/or implementing media sanitization
MP-6 (4) CONTROLLED UNCLASSIFIED INFORMATION
Control
|
Withdrawn: Incorporated into MP-6. |
MP-6 (5) CLASSIFIED INFORMATION
Control
|
Withdrawn: Incorporated into MP-6. |
MP-6 (7) DUAL AUTHORIZATION
Label: INSERT into mp-6..7.
Parameter: mp-6_prm_5 organization-defined information system media
Control
|
The organization enforces dual authorization for the sanitization of mp-6_prm_5 INSERT into mp-6..7. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Organizations employ dual authorization to ensure that information system media sanitization cannot occur unless two technically qualified individuals conduct the task. Individuals sanitizing information system media possess sufficient skills/expertise to determine if the proposed sanitization reflects applicable federal/organizational standards, policies, and procedures. Dual authorization also helps to ensure that sanitization occurs as intended, both protecting against errors and false claims of having performed the sanitization actions. Dual authorization may also be known as two-person control.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Information system media protection policy
procedures addressing media sanitization and disposal
list of information system media requiring dual authorization for sanitization
authorization records
media sanitization records
audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system media sanitization responsibilities
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Organizational processes requiring dual authorization for media sanitization
automated mechanisms supporting and/or implementing media sanitization
automated mechanisms supporting and/or implementing dual authorization
MP-6 (8) REMOTE PURGING / WIPING OF INFORMATION
Label: INSERT into mp-6..8.
Parameter: mp-6_prm_6 organization-defined information systems, system components, or devices
Label: INSERT into mp-6..8.
Parameter: mp-6_prm_7 organization-defined conditions
Control
|
The organization provides the capability to purge/wipe information from mp-6_prm_6 INSERT into mp-6..8. [NO PARAMETER VALUE GIVEN] either remotely or under the following conditions: mp-6_prm_7 INSERT into mp-6..8. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
This control enhancement protects data/information on organizational information systems, system components, or devices (e.g., mobile devices) if such systems, components, or devices are obtained by unauthorized individuals. Remote purge/wipe commands require strong authentication to mitigate the risk of unauthorized individuals purging/wiping the system/component/device. The purge/wipe function can be implemented in a variety of ways including, for example, by overwriting data/information multiple times or by destroying the key necessary to decrypt encrypted data.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Information system media protection policy
procedures addressing media sanitization and disposal
information system design documentation
information system configuration settings and associated documentation
media sanitization records
audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system media sanitization responsibilities
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Organizational processes for purging/wiping media
automated mechanisms supporting and/or implementing purge/wipe capabilities
MP-7 MEDIA USE
Label: SELECT for { ancestor-or-self::*[@id][1]/@id }
restricts
prohibits
Label: INSERT into mp-7
Parameter: mp-7_prm_2 organization-defined types of information system media
Label: INSERT into mp-7
Parameter: mp-7_prm_3 organization-defined information systems or system components
Label: INSERT into mp-7
Parameter: mp-7_prm_4 organization-defined security safeguards
Control
|
The organization mp-7_prm_1 SELECT for { ancestor-or-self::*[@id][1]/@id } restricts prohibits [NO PARAMETER VALUE GIVEN] the use of mp-7_prm_2 INSERT into mp-7 [NO PARAMETER VALUE GIVEN] on mp-7_prm_3 INSERT into mp-7 [NO PARAMETER VALUE GIVEN] using mp-7_prm_4 INSERT into mp-7 [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Information system media includes both digital and non-digital media. Digital media includes, for example, diskettes, magnetic tapes, external/removable hard disk drives, flash drives, compact disks, and digital video disks. Non-digital media includes, for example, paper and microfilm. This control also applies to mobile devices with information storage capability (e.g., smart phones, tablets, E-readers). In contrast to MP-2, which restricts user access to media, this control restricts the use of certain types of media on information systems, for example, restricting/prohibiting the use of flash drives or external hard disk drives. Organizations can employ technical and nontechnical safeguards (e.g., policies, procedures, rules of behavior) to restrict the use of information system media. Organizations may restrict the use of portable storage devices, for example, by using physical cages on workstations to prohibit access to certain external ports, or disabling/removing the ability to insert, read or write to such devices. Organizations may also limit the use of portable storage devices to only approved devices including, for example, devices provided by the organization, devices provided by other approved organizations, and devices that are not personally owned. Finally, organizations may restrict the use of portable storage devices based on the type of device, for example, prohibiting the use of writeable, portable storage devices, and implementing this restriction by disabling or removing the capability to write to such devices.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Information system media protection policy
system use policy
procedures addressing media usage restrictions
security plan
rules of behavior
information system design documentation
information system configuration settings and associated documentation
audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system media use responsibilities
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Organizational processes for media use
automated mechanisms restricting or prohibiting use of information system media on information systems or system components
Control enhancements
MP-7 (1) PROHIBIT USE WITHOUT OWNER
Control
|
The organization prohibits the use of portable storage devices in organizational information systems when such devices have no identifiable owner. |
Supplemental guidance
Requiring identifiable owners (e.g., individuals, organizations, or projects) for portable storage devices reduces the risk of using such technologies by allowing organizations to assign responsibility and accountability for addressing known vulnerabilities in the devices (e.g., malicious code insertion).
Objective
|
Determine if the organization prohibits the use of portable storage devices in organizational information systems when such devices have no identifiable owner. |
Assessment: EXAMINE
Information system media protection policy
system use policy
procedures addressing media usage restrictions
security plan
rules of behavior
information system design documentation
information system configuration settings and associated documentation
audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system media use responsibilities
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Organizational processes for media use
automated mechanisms prohibiting use of media on information systems or system components
MP-7 (2) PROHIBIT USE OF SANITIZATION-RESISTANT MEDIA
Control
|
The organization prohibits the use of sanitization-resistant media in organizational information systems. |
Supplemental guidance
Sanitization-resistance applies to the capability to purge information from media. Certain types of media do not support sanitize commands, or if supported, the interfaces are not supported in a standardized way across these devices. Sanitization-resistant media include, for example, compact flash, embedded flash on boards and devices, solid state drives, and USB removable media.
Objective
|
Determine if the organization prohibits the use of sanitization-resistant media in organizational information systems. |
Assessment: EXAMINE
Information system media protection policy, system use policy
procedures addressing media usage restrictions
rules of behavior
audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system media use responsibilities
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Organizational processes for media use
automated mechanisms prohibiting use of media on information systems or system components
MP-8 MEDIA DOWNGRADING
Label: INSERT into mp-8_smt_a (MP-8a.)
Parameter: mp-8_prm_1 organization-defined information system media downgrading process
Label: INSERT into mp-8_smt_a (MP-8a.)
Parameter: mp-8_prm_2 organization-defined strength and integrity
Label: INSERT into mp-8_smt_c (MP-8c.)
Parameter: mp-8_prm_3 organization-defined information system media requiring downgrading
Control
|
The organization:
|
Supplemental guidance
This control applies to all information system media, digital and non-digital, subject to release outside of the organization, whether or not the media is considered removable. The downgrading process, when applied to system media, removes information from the media, typically by security category or classification level, such that the information cannot be retrieved or reconstructed. Downgrading of media includes redacting information to enable wider release and distribution. Downgrading of media also ensures that empty space on the media (e.g., slack space within files) is devoid of information.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Information system media protection policy
procedures addressing media downgrading
system categorization documentation
list of media requiring downgrading
records of media downgrading
audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system media downgrading responsibilities
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Organizational processes for media downgrading
automated mechanisms supporting and/or implementing media downgrading
Control enhancements
MP-8 (1) DOCUMENTATION OF PROCESS
Control
|
The organization documents information system media downgrading actions. |
Supplemental guidance
Organizations can document the media downgrading process by providing information such as the downgrading technique employed, the identification number of the downgraded media, and the identity of the individual that authorized and/or performed the downgrading action.
Objective
|
Determine if the organization documents information system media downgrading actions. |
Assessment: EXAMINE
Information system media protection policy
procedures addressing media downgrading
list of media requiring downgrading
records of media downgrading
audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system media downgrading responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for media downgrading
automated mechanisms supporting and/or implementing media downgrading
MP-8 (2) EQUIPMENT TESTING
Label: INSERT into mp-8..2.
Parameter: mp-8_prm_4 organization-defined tests
Label: INSERT into mp-8..2.
Parameter: mp-8_prm_5 organization-defined frequency
Control
|
The organization employs mp-8_prm_4 INSERT into mp-8..2. [NO PARAMETER VALUE GIVEN] of downgrading equipment and procedures to verify correct performance mp-8_prm_5 INSERT into mp-8..2. [NO PARAMETER VALUE GIVEN] . |
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Information system media protection policy
procedures addressing media downgrading
procedures addressing testing of media downgrading equipment
results of downgrading equipment and procedures testing
audit records: other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system media downgrading responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for media downgrading
automated mechanisms supporting and/or implementing media downgrading
automated mechanisms supporting and/or implementing tests for downgrading equipment
MP-8 (3) CONTROLLED UNCLASSIFIED INFORMATION
Label: INSERT into mp-8..3.
Parameter: mp-8_prm_6 organization-defined Controlled Unclassified Information (CUI)
Control
|
The organization downgrades information system media containing mp-8_prm_6 INSERT into mp-8..3. [NO PARAMETER VALUE GIVEN] prior to public release in accordance with applicable federal and organizational standards and policies. |
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Information system media protection policy
access authorization policy
procedures addressing downgrading of media containing CUI
applicable federal and organizational standards and policies regarding protection of CUI
media downgrading records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system media downgrading responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for media downgrading
automated mechanisms supporting and/or implementing media downgrading
MP-8 (4) CLASSIFIED INFORMATION
Control
|
The organization downgrades information system media containing classified information prior to release to individuals without required access authorizations in accordance with NSA standards and policies. |
Supplemental guidance
Downgrading of classified information uses approved sanitization tools, techniques, and procedures to transfer information confirmed to be unclassified from classified information systems to unclassified media.
Objective
|
Determine if the organization downgrades information system media containing classified information prior to release to individuals without required access authorizations in accordance with NSA standards and policies. |
Assessment: EXAMINE
Information system media protection policy
access authorization policy
procedures addressing downgrading of media containing classified information
procedures addressing handling of classified information
NSA standards and policies regarding protection of classified information
media downgrading records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system media downgrading responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for media downgrading
automated mechanisms supporting and/or implementing media downgrading
References: None
PHYSICAL AND ENVIRONMENTAL PROTECTION
PE-1 PHYSICAL AND ENVIRONMENTAL PROTECTION POLICY AND PROCEDURES
Label: INSERT into pe-1_smt_a (PE-1a.)
Parameter: pe-1_prm_1 organization-defined personnel or roles
Label: INSERT into pe-1_smt_b.1 (PE-1b.1.)
Parameter: pe-1_prm_2 organization-defined frequency
Label: INSERT into pe-1_smt_b.2 (PE-1b.2.)
Parameter: pe-1_prm_3 organization-defined frequency
Control
|
The organization:
|
Supplemental guidance
This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the PE family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Physical and environmental protection policy and procedures
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with physical and environmental protection responsibilities
organizational personnel with information security responsibilities
PE-2 PHYSICAL ACCESS AUTHORIZATIONS
Label: INSERT into pe-2_smt_c (PE-2c.)
Parameter: pe-2_prm_1 organization-defined frequency
Control
|
The organization:
|
Supplemental guidance
This control applies to organizational employees and visitors. Individuals (e.g., employees, contractors, and others) with permanent physical access authorization credentials are not considered visitors. Authorization credentials include, for example, badges, identification cards, and smart cards. Organizations determine the strength of authorization credentials needed (including level of forge-proof badges, smart cards, or identification cards) consistent with federal standards, policies, and procedures. This control only applies to areas within facilities that have not been designated as publicly accessible.
cf PE-3: PHYSICAL ACCESS CONTROL
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Physical and environmental protection policy
procedures addressing physical access authorizations
security plan
authorized personnel access list
authorization credentials
physical access list reviews
physical access termination records and associated documentation
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with physical access authorization responsibilities
organizational personnel with physical access to information system facility
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for physical access authorizations
automated mechanisms supporting and/or implementing physical access authorizations
Control enhancements
PE-2 (1) ACCESS BY POSITION / ROLE
Control
|
The organization authorizes physical access to the facility where the information system resides based on position or role. |
Supplemental guidance
Objective
|
Determine if the organization authorizes physical access to the facility where the information system resides based on position or role. |
Assessment: EXAMINE
Physical and environmental protection policy
procedures addressing physical access authorizations
physical access control logs or records
list of positions/roles and corresponding physical access authorizations
information system entry and exit points
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with physical access authorization responsibilities
organizational personnel with physical access to information system facility
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for physical access authorizations
automated mechanisms supporting and/or implementing physical access authorizations
PE-2 (2) TWO FORMS OF IDENTIFICATION
Label: INSERT into pe-2..2.
Parameter: pe-2_prm_2 organization-defined list of acceptable forms of identification
Control
|
The organization requires two forms of identification from pe-2_prm_2 INSERT into pe-2..2. [NO PARAMETER VALUE GIVEN] for visitor access to the facility where the information system resides. |
Supplemental guidance
Acceptable forms of government photo identification include, for example, passports, Personal Identity Verification (PIV) cards, and drivers’ licenses. In the case of gaining access to facilities using automated mechanisms, organizations may use PIV cards, key cards, PINs, and biometrics.
cf IA-2: IDENTIFICATION AND AUTHENTICATION (ORGANIZATIONAL USERS)
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Physical and environmental protection policy
procedures addressing physical access authorizations
list of acceptable forms of identification for visitor access to the facility where information system resides
access authorization forms
access credentials
physical access control logs or records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with physical access authorization responsibilities
organizational personnel with physical access to information system facility
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for physical access authorizations
automated mechanisms supporting and/or implementing physical access authorizations
PE-2 (3) RESTRICT UNESCORTED ACCESS
Label: SELECT for { ancestor-or-self::*[@id][1]/@id }
security clearances for all information contained within the system
formal access authorizations for all information contained within the system
need for access to all information contained within the system
pe-2_prm_4 INSERT into pe-2..3. [NO PARAMETER VALUE GIVEN]
Label: INSERT into pe-2..3.
Parameter: pe-2_prm_4 organization-defined credentials
Control
|
The organization restricts unescorted access to the facility where the information system resides to personnel with pe-2_prm_3 SELECT for { ancestor-or-self::*[@id][1]/@id } security clearances for all information contained within the system formal access authorizations for all information contained within the system need for access to all information contained within the system [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Due to the highly sensitive nature of classified information stored within certain facilities, it is important that individuals lacking sufficient security clearances, access approvals, or need to know, be escorted by individuals with appropriate credentials to ensure that such information is not exposed or otherwise compromised.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Physical and environmental protection policy
procedures addressing physical access authorizations
authorized personnel access list
security clearances
access authorizations
access credentials
physical access control logs or records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with physical access authorization responsibilities
organizational personnel with physical access to information system facility
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for physical access authorizations
automated mechanisms supporting and/or implementing physical access authorizations
References: None
PE-3 PHYSICAL ACCESS CONTROL
Label: INSERT into pe-3_smt_a (PE-3a.)
Parameter: pe-3_prm_1 organization-defined entry/exit points to the facility where the information system resides
Label: SELECT for { ancestor-or-self::*[@id][1]/@id }
Parameter: pe-3_prm_2 Insertion into PE-3a.2.
pe-3_prm_3 INSERT into pe-3_smt_a.2 (PE-3a.2.) [NO PARAMETER VALUE GIVEN]
guards
Label: INSERT into pe-3_smt_a.2 (PE-3a.2.)
Parameter: pe-3_prm_3 organization-defined physical access control systems/devices
Label: INSERT into pe-3_smt_b (PE-3b.)
Parameter: pe-3_prm_4 organization-defined entry/exit points
Label: INSERT into pe-3_smt_c (PE-3c.)
Parameter: pe-3_prm_5 organization-defined security safeguards
Label: INSERT into pe-3_smt_d (PE-3d.)
Parameter: pe-3_prm_6 organization-defined circumstances requiring visitor escorts and monitoring
Label: INSERT into pe-3_smt_f (PE-3f.)
Parameter: pe-3_prm_7 organization-defined physical access devices
Label: INSERT into pe-3_smt_f (PE-3f.)
Parameter: pe-3_prm_8 organization-defined frequency
Label: INSERT into pe-3_smt_g (PE-3g.)
Parameter: pe-3_prm_9 organization-defined frequency
Control
|
The organization:
|
Supplemental guidance
This control applies to organizational employees and visitors. Individuals (e.g., employees, contractors, and others) with permanent physical access authorization credentials are not considered visitors. Organizations determine the types of facility guards needed including, for example, professional physical security staff or other personnel such as administrative staff or information system users. Physical access devices include, for example, keys, locks, combinations, and card readers. Safeguards for publicly accessible areas within organizational facilities include, for example, cameras, monitoring by guards, and isolating selected information systems and/or system components in secured areas. Physical access control systems comply with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. The Federal Identity, Credential, and Access Management Program provides implementation guidance for identity, credential, and access management capabilities for physical access control systems. Organizations have flexibility in the types of audit logs employed. Audit logs can be procedural (e.g., a written log of individuals accessing the facility and when such access occurred), automated (e.g., capturing ID provided by a PIV card), or some combination thereof. Physical access points can include facility access points, interior access points to information systems and/or components requiring supplemental access controls, or both. Components of organizational information systems (e.g., workstations, terminals) may be located in areas designated as publicly accessible with organizations safeguarding access to such devices.
cf AU-6: AUDIT REVIEW, ANALYSIS, AND REPORTING
cf PE-2: PHYSICAL ACCESS AUTHORIZATIONS
cf PE-4: ACCESS CONTROL FOR TRANSMISSION MEDIUM
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Physical and environmental protection policy
procedures addressing physical access control
security plan
physical access control logs or records
inventory records of physical access control devices
information system entry and exit points
records of key and lock combination changes
storage locations for physical access control devices
physical access control devices
list of security safeguards controlling access to designated publicly accessible areas within facility
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with physical access control responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for physical access control
automated mechanisms supporting and/or implementing physical access control
physical access control devices
Control enhancements
PE-3 (1) INFORMATION SYSTEM ACCESS
Label: INSERT into pe-3..1.
Parameter: pe-3_prm_10 organization-defined physical spaces containing one or more components of the information system
Control
|
The organization enforces physical access authorizations to the information system in addition to the physical access controls for the facility at pe-3_prm_10 INSERT into pe-3..1. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
This control enhancement provides additional physical security for those areas within facilities where there is a concentration of information system components (e.g., server rooms, media storage areas, data and communications centers).
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Physical and environmental protection policy
procedures addressing physical access control
physical access control logs or records
physical access control devices
access authorizations
access credentials
information system entry and exit points
list of areas within the facility containing concentrations of information system components or information system components requiring additional physical protection
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with physical access authorization responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for physical access control to the information system/components
automated mechanisms supporting and/or implementing physical access control for facility areas containing information system components
PE-3 (2) FACILITY / INFORMATION SYSTEM BOUNDARIES
Label: INSERT into pe-3..2.
Parameter: pe-3_prm_11 organization-defined frequency
Control
|
The organization performs security checks pe-3_prm_11 INSERT into pe-3..2. [NO PARAMETER VALUE GIVEN] at the physical boundary of the facility or information system for unauthorized exfiltration of information or removal of information system components. |
Supplemental guidance
Organizations determine the extent, frequency, and/or randomness of security checks to adequately mitigate risk associated with exfiltration.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Physical and environmental protection policy
procedures addressing physical access control
physical access control logs or records
records of security checks
security audit reports
security inspection reports
facility layout documentation
information system entry and exit points
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with physical access control responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for physical access control to the facility and/or information system
automated mechanisms supporting and/or implementing physical access control for the facility or information system
automated mechanisms supporting and/or implementing security checks for unauthorized exfiltration of information
PE-3 (3) CONTINUOUS GUARDS / ALARMS / MONITORING
Control
|
The organization employs guards and/or alarms to monitor every physical access point to the facility where the information system resides 24 hours per day, 7 days per week. |
Objectives
|
Determine if the organization employs one or more of the following to monitor every physical access point to the facility where the information system resides 24 hours per day, 7 days per week:
|
Assessment: EXAMINE
Physical and environmental protection policy
procedures addressing physical access control
physical access control logs or records
physical access control devices
facility surveillance records
facility layout documentation
information system entry and exit points
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with physical access control responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for physical access control to the facility where the information system resides
automated mechanisms supporting and/or implementing physical access control for the facility where the information system resides
PE-3 (4) LOCKABLE CASINGS
Label: INSERT into pe-3..4.
Parameter: pe-3_prm_12 organization-defined information system components
Control
|
The organization uses lockable physical casings to protect pe-3_prm_12 INSERT into pe-3..4. [NO PARAMETER VALUE GIVEN] from unauthorized physical access. |
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Physical and environmental protection policy
procedures addressing physical access control
security plan
list of information system components requiring protection through lockable physical casings
lockable physical casings
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with physical access control responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Lockable physical casings
PE-3 (5) TAMPER PROTECTION
Label: INSERT into pe-3..5.
Parameter: pe-3_prm_13 organization-defined security safeguards
Label: SELECT for { ancestor-or-self::*[@id][1]/@id }
detect
prevent
Label: INSERT into pe-3..5.
Parameter: pe-3_prm_15 organization-defined hardware components
Control
|
The organization employs pe-3_prm_13 INSERT into pe-3..5. [NO PARAMETER VALUE GIVEN] to pe-3_prm_14 SELECT for { ancestor-or-self::*[@id][1]/@id } detect prevent [NO PARAMETER VALUE GIVEN] physical tampering or alteration of pe-3_prm_15 INSERT into pe-3..5. [NO PARAMETER VALUE GIVEN] within the information system. |
Supplemental guidance
Organizations may implement tamper detection/prevention at selected hardware components or tamper detection at some components and tamper prevention at other components. Tamper detection/prevention activities can employ many types of anti-tamper technologies including, for example, tamper-detection seals and anti-tamper coatings. Anti-tamper programs help to detect hardware alterations through counterfeiting and other supply chain-related risks.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Physical and environmental protection policy
procedures addressing physical access control
list of security safeguards to detect/prevent physical tampering or alteration of information system hardware components
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with physical access control responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes to detect/prevent physical tampering or alteration of information system hardware components
automated mechanisms/security safeguards supporting and/or implementing detection/prevention of physical tampering/alternation of information system hardware components
PE-3 (6) FACILITY PENETRATION TESTING
Label: INSERT into pe-3..6.
Parameter: pe-3_prm_16 organization-defined frequency
Control
|
The organization employs a penetration testing process that includes pe-3_prm_16 INSERT into pe-3..6. [NO PARAMETER VALUE GIVEN] , unannounced attempts to bypass or circumvent security controls associated with physical access points to the facility. |
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Physical and environmental protection policy
procedures addressing physical access control
procedures addressing penetration testing
rules of engagement and associated documentation
penetration test results
security plan
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with physical access control responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for facility penetration testing
automated mechanisms supporting and/or implementing facility penetration testing
PE-4 ACCESS CONTROL FOR TRANSMISSION MEDIUM
Label: INSERT into pe-4
Parameter: pe-4_prm_1 organization-defined information system distribution and transmission lines
Label: INSERT into pe-4
Parameter: pe-4_prm_2 organization-defined security safeguards
Control
|
The organization controls physical access to pe-4_prm_1 INSERT into pe-4 [NO PARAMETER VALUE GIVEN] within organizational facilities using pe-4_prm_2 INSERT into pe-4 [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Physical security safeguards applied to information system distribution and transmission lines help to prevent accidental damage, disruption, and physical tampering. In addition, physical safeguards may be necessary to help prevent eavesdropping or in transit modification of unencrypted transmissions. Security safeguards to control physical access to system distribution and transmission lines include, for example: (i) locked wiring closets; (ii) disconnected or locked spare jacks; and/or (iii) protection of cabling by conduit or cable trays.
cf PE-2: PHYSICAL ACCESS AUTHORIZATIONS
cf PE-3: PHYSICAL ACCESS CONTROL
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Physical and environmental protection policy
procedures addressing access control for transmission medium
information system design documentation
facility communications and wiring diagrams
list of physical security safeguards applied to information system distribution and transmission lines
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with physical access control responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for access control to distribution and transmission lines
automated mechanisms/security safeguards supporting and/or implementing access control to distribution and transmission lines
References
PE-5 ACCESS CONTROL FOR OUTPUT DEVICES
Control
|
The organization controls physical access to information system output devices to prevent unauthorized individuals from obtaining the output. |
Supplemental guidance
Controlling physical access to output devices includes, for example, placing output devices in locked rooms or other secured areas and allowing access to authorized individuals only, and placing output devices in locations that can be monitored by organizational personnel. Monitors, printers, copiers, scanners, facsimile machines, and audio devices are examples of information system output devices.
cf PE-2: PHYSICAL ACCESS AUTHORIZATIONS
cf PE-3: PHYSICAL ACCESS CONTROL
Objective
|
Determine if the organization controls physical access to information system output devices to prevent unauthorized individuals from obtaining the output. |
Assessment: EXAMINE
Physical and environmental protection policy
procedures addressing access control for display medium
facility layout of information system components
actual displays from information system components
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with physical access control responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for access control to output devices
automated mechanisms supporting and/or implementing access control to output devices
Control enhancements
PE-5 (1) ACCESS TO OUTPUT BY AUTHORIZED INDIVIDUALS
Label: INSERT into pe-5..1._smt_a (PE-5 (1)(a))
Parameter: pe-5_prm_1 organization-defined output devices
Control
|
The organization:
|
Supplemental guidance
Controlling physical access to selected output devices includes, for example, placing printers, copiers, and facsimile machines in controlled areas with keypad access controls or limiting access to individuals with certain types of badges.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Physical and environmental protection policy
procedures addressing physical access control
list of output devices and associated outputs requiring physical access controls
physical access control logs or records for areas containing output devices and related outputs
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with physical access control responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for access control to output devices
automated mechanisms supporting and/or implementing access control to output devices
PE-5 (2) ACCESS TO OUTPUT BY INDIVIDUAL IDENTITY
Label: INSERT into pe-5..2._smt_a (PE-5 (2)(a))
Parameter: pe-5_prm_2 organization-defined output devices
Control
|
The information system:
|
Supplemental guidance
Controlling physical access to selected output devices includes, for example, installing security functionality on printers, copiers, and facsimile machines that allows organizations to implement authentication (e.g., using a PIN or hardware token) on output devices prior to the release of output to individuals.
Objectives
|
Determine if:
|
Assessment: EXAMINE
Physical and environmental protection policy
procedures addressing physical access control
information system design documentation
information system configuration settings and associated documentation
list of output devices and associated outputs requiring physical access controls
physical access control logs or records for areas containing output devices and related outputs
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with physical access control responsibilities
organizational personnel with information security responsibilities
system/network administrators
system developers
Assessment: TEST
Organizational processes for access control to output devices
automated mechanisms supporting and/or implementing access control to output devices
PE-5 (3) MARKING OUTPUT DEVICES
Label: INSERT into pe-5..3.
Parameter: pe-5_prm_3 organization-defined information system output devices
Control
|
The organization marks pe-5_prm_3 INSERT into pe-5..3. [NO PARAMETER VALUE GIVEN] indicating the appropriate security marking of the information permitted to be output from the device. |
Supplemental guidance
Outputs devices include, for example, printers, monitors, facsimile machines, scanners, copiers, and audio devices. This control enhancement is generally applicable to information system output devices other than mobiles devices.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Physical and environmental protection policy
procedures addressing physical access control
security markings for information types permitted as output from information system output devices
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with physical access control responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for marking output devices
References: None
PE-6 MONITORING PHYSICAL ACCESS
Label: INSERT into pe-6_smt_b (PE-6b.)
Parameter: pe-6_prm_1 organization-defined frequency
Label: INSERT into pe-6_smt_b (PE-6b.)
Parameter: pe-6_prm_2 organization-defined events or potential indications of events
Control
|
The organization:
|
Supplemental guidance
Organizational incident response capabilities include investigations of and responses to detected physical security incidents. Security incidents include, for example, apparent security violations or suspicious physical access activities. Suspicious physical access activities include, for example: (i) accesses outside of normal work hours; (ii) repeated accesses to areas not normally accessed; (iii) accesses for unusual lengths of time; and (iv) out-of-sequence accesses.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Physical and environmental protection policy
procedures addressing physical access monitoring
security plan
physical access logs or records
physical access monitoring records
physical access log reviews
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with physical access monitoring responsibilities
organizational personnel with incident response responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for monitoring physical access
automated mechanisms supporting and/or implementing physical access monitoring
automated mechanisms supporting and/or implementing reviewing of physical access logs
Control enhancements
PE-6 (1) INTRUSION ALARMS / SURVEILLANCE EQUIPMENT
Control
|
The organization monitors physical intrusion alarms and surveillance equipment. |
Objective
|
Determine if the organization monitors physical intrusion alarms and surveillance equipment. |
Assessment: EXAMINE
Physical and environmental protection policy
procedures addressing physical access monitoring
security plan
physical access logs or records
physical access monitoring records
physical access log reviews
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with physical access monitoring responsibilities
organizational personnel with incident response responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for monitoring physical intrusion alarms and surveillance equipment
automated mechanisms supporting and/or implementing physical access monitoring
automated mechanisms supporting and/or implementing physical intrusion alarms and surveillance equipment
PE-6 (2) AUTOMATED INTRUSION RECOGNITION / RESPONSES
Label: INSERT into pe-6..2.
Parameter: pe-6_prm_3 organization-defined classes/types of intrusions
Label: INSERT into pe-6..2.
Parameter: pe-6_prm_4 organization-defined response actions
Control
|
The organization employs automated mechanisms to recognize pe-6_prm_3 INSERT into pe-6..2. [NO PARAMETER VALUE GIVEN] and initiate pe-6_prm_4 INSERT into pe-6..2. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Physical and environmental protection policy
procedures addressing physical access monitoring
information system design documentation
information system configuration settings and associated documentation
information system audit records
list of response actions to be initiated when specific classes/types of intrusions are recognized
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with physical access monitoring responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for monitoring physical access
automated mechanisms supporting and/or implementing physical access monitoring
automated mechanisms supporting and/or implementing recognition of classes/types of intrusions and initiation of a response
PE-6 (3) VIDEO SURVEILLANCE
Label: INSERT into pe-6..3.
Parameter: pe-6_prm_5 organization-defined operational areas
Label: INSERT into pe-6..3.
Parameter: pe-6_prm_6 organization-defined time period
Control
|
The organization employs video surveillance of pe-6_prm_5 INSERT into pe-6..3. [NO PARAMETER VALUE GIVEN] and retains video recordings for pe-6_prm_6 INSERT into pe-6..3. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
This control enhancement focuses on recording surveillance video for purposes of subsequent review, if circumstances so warrant (e.g., a break-in detected by other means). It does not require monitoring surveillance video although organizations may choose to do so. Note that there may be legal considerations when performing and retaining video surveillance, especially if such surveillance is in a public location.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Physical and environmental protection policy
procedures addressing physical access monitoring
video surveillance equipment used to monitor operational areas
video recordings of operational areas where video surveillance is employed
video surveillance equipment logs or records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with physical access monitoring responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for monitoring physical access
automated mechanisms supporting and/or implementing physical access monitoring
automated mechanisms supporting and/or implementing video surveillance
PE-6 (4) MONITORING PHYSICAL ACCESS TO INFORMATION SYSTEMS
Label: INSERT into pe-6..4.
Parameter: pe-6_prm_7 organization-defined physical spaces containing one or more components of the information system
Control
|
The organization monitors physical access to the information system in addition to the physical access monitoring of the facility as pe-6_prm_7 INSERT into pe-6..4. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
This control enhancement provides additional monitoring for those areas within facilities where there is a concentration of information system components (e.g., server rooms, media storage areas, communications centers).
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Physical and environmental protection policy
procedures addressing physical access monitoring
physical access control logs or records
physical access control devices
access authorizations
access credentials
list of areas within the facility containing concentrations of information system components or information system components requiring additional physical access monitoring
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with physical access monitoring responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for monitoring physical access to the information system
automated mechanisms supporting and/or implementing physical access monitoring for facility areas containing information system components
References: None
PE-7 VISITOR CONTROL
cf PE-2: PHYSICAL ACCESS AUTHORIZATIONS
cf PE-3: PHYSICAL ACCESS CONTROL
Control
|
Withdrawn: Incorporated into PE-2 and PE-3. |
References: None
PE-8 VISITOR ACCESS RECORDS
Label: INSERT into pe-8_smt_a (PE-8a.)
Parameter: pe-8_prm_1 organization-defined time period
Label: INSERT into pe-8_smt_b (PE-8b.)
Parameter: pe-8_prm_2 organization-defined frequency
Control
|
The organization:
|
Supplemental guidance
Visitor access records include, for example, names and organizations of persons visiting, visitor signatures, forms of identification, dates of access, entry and departure times, purposes of visits, and names and organizations of persons visited. Visitor access records are not required for publicly accessible areas.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Physical and environmental protection policy
procedures addressing visitor access records
security plan
visitor access control logs or records
visitor access record or log reviews
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with visitor access records responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for maintaining and reviewing visitor access records
automated mechanisms supporting and/or implementing maintenance and review of visitor access records
Control enhancements
PE-8 (1) AUTOMATED RECORDS MAINTENANCE / REVIEW
Control
|
The organization employs automated mechanisms to facilitate the maintenance and review of visitor access records. |
Objective
|
Determine if the organization employs automated mechanisms to facilitate the maintenance and review of visitor access records. |
Assessment: EXAMINE
Physical and environmental protection policy
procedures addressing visitor access records
automated mechanisms supporting management of visitor access records
visitor access control logs or records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with visitor access records responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for maintaining and reviewing visitor access records
automated mechanisms supporting and/or implementing maintenance and review of visitor access records
PE-8 (2) PHYSICAL ACCESS RECORDS
cf PE-2: PHYSICAL ACCESS AUTHORIZATIONS
Control
|
Withdrawn: Incorporated into PE-2. |
References: None
PE-9 POWER EQUIPMENT AND CABLING
Control
|
The organization protects power equipment and power cabling for the information system from damage and destruction. |
Supplemental guidance
Organizations determine the types of protection necessary for power equipment and cabling employed at different locations both internal and external to organizational facilities and environments of operation. This includes, for example, generators and power cabling outside of buildings, internal cabling and uninterruptable power sources within an office or data center, and power sources for self-contained entities such as vehicles and satellites.
Objective
|
Determine if the organization protects power equipment and power cabling for the information system from damage and destruction. |
Assessment: EXAMINE
Physical and environmental protection policy
procedures addressing power equipment/cabling protection
facilities housing power equipment/cabling
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibility for protecting power equipment/cabling
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms supporting and/or implementing protection of power equipment/cabling
Control enhancements
PE-9 (1) REDUNDANT CABLING
Label: INSERT into pe-9..1.
Parameter: pe-9_prm_1 organization-defined distance
Control
|
The organization employs redundant power cabling paths that are physically separated by pe-9_prm_1 INSERT into pe-9..1. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Physically separate, redundant power cables help to ensure that power continues to flow in the event one of the cables is cut or otherwise damaged.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Physical and environmental protection policy
procedures addressing power equipment/cabling protection
facilities housing power equipment/cabling
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibility for protecting power equipment/cabling
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms supporting and/or implementing protection of power equipment/cabling
PE-9 (2) AUTOMATIC VOLTAGE CONTROLS
Label: INSERT into pe-9..2.
Parameter: pe-9_prm_2 organization-defined critical information system components
Control
|
The organization employs automatic voltage controls for pe-9_prm_2 INSERT into pe-9..2. [NO PARAMETER VALUE GIVEN] . |
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Physical and environmental protection policy
procedures addressing voltage control
security plan
list of critical information system components requiring automatic voltage controls
automatic voltage control mechanisms and associated configurations
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibility for environmental protection of information system components
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms supporting and/or implementing automatic voltage controls
References: None
PE-10 EMERGENCY SHUTOFF
Label: INSERT into pe-10_smt_b (PE-10b.)
Parameter: pe-10_prm_1 organization-defined location by information system or system component
Control
|
The organization:
|
Supplemental guidance
This control applies primarily to facilities containing concentrations of information system resources including, for example, data centers, server rooms, and mainframe computer rooms.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Physical and environmental protection policy
procedures addressing power source emergency shutoff
security plan
emergency shutoff controls or switches
locations housing emergency shutoff switches and devices
security safeguards protecting emergency power shutoff capability from unauthorized activation
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibility for emergency power shutoff capability (both implementing and using the capability)
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms supporting and/or implementing emergency power shutoff
Control enhancements
PE-10 (1) ACCIDENTAL / UNAUTHORIZED ACTIVATION
Control
|
Withdrawn: Incorporated into PE-10. |
References: None
PE-11 EMERGENCY POWER
Label: SELECT for { ancestor-or-self::*[@id][1]/@id }
an orderly shutdown of the information system
transition of the information system to long-term alternate power
Control
|
The organization provides a short-term uninterruptible power supply to facilitate pe-11_prm_1 SELECT for { ancestor-or-self::*[@id][1]/@id } an orderly shutdown of the information system transition of the information system to long-term alternate power [NO PARAMETER VALUE GIVEN] in the event of a primary power source loss. |
Supplemental guidance
Objectives
|
Determine if the organization provides a short-term uninterruptible power supply to facilitate one or more of the following in the event of a primary power source loss:
|
Assessment: EXAMINE
Physical and environmental protection policy
procedures addressing emergency power
uninterruptible power supply
uninterruptible power supply documentation
uninterruptible power supply test records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibility for emergency power and/or planning
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms supporting and/or implementing uninterruptible power supply
the uninterruptable power supply
Control enhancements
PE-11 (1) LONG-TERM ALTERNATE POWER SUPPLY - MINIMAL OPERATIONAL CAPABILITY
Control
|
The organization provides a long-term alternate power supply for the information system that is capable of maintaining minimally required operational capability in the event of an extended loss of the primary power source. |
Supplemental guidance
This control enhancement can be satisfied, for example, by the use of a secondary commercial power supply or other external power supply. Long-term alternate power supplies for the information system can be either manually or automatically activated.
Objective
|
Determine if the organization provides a long-term alternate power supply for the information system that is capable of maintaining minimally required operational capability in the event of an extended loss of the primary power source. |
Assessment: EXAMINE
Physical and environmental protection policy
procedures addressing emergency power
alternate power supply
alternate power supply documentation
alternate power supply test records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibility for emergency power and/or planning
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms supporting and/or implementing alternate power supply
the alternate power supply
PE-11 (2) LONG-TERM ALTERNATE POWER SUPPLY - SELF-CONTAINED
Label: SELECT for { ancestor-or-self::*[@id][1]/@id }
Parameter: pe-11_prm_2 Insertion into PE-11 (2)(c)
minimally required operational capability
full operational capability
Control
|
The organization provides a long-term alternate power supply for the information system that is:
|
Supplemental guidance
This control enhancement can be satisfied, for example, by the use of one or more generators with sufficient capacity to meet the needs of the organization. Long-term alternate power supplies for organizational information systems are either manually or automatically activated.
Objectives
|
Determine if the organization provides a long-term alternate power supply for the information system that is:
|
Assessment: EXAMINE
Physical and environmental protection policy
procedures addressing emergency power
alternate power supply
alternate power supply documentation
alternate power supply test records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibility for emergency power and/or planning
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms supporting and/or implementing alternate power supply
the alternate power supply
References: None
PE-12 EMERGENCY LIGHTING
Control
|
The organization employs and maintains automatic emergency lighting for the information system that activates in the event of a power outage or disruption and that covers emergency exits and evacuation routes within the facility. |
Supplemental guidance
This control applies primarily to facilities containing concentrations of information system resources including, for example, data centers, server rooms, and mainframe computer rooms.
Objectives
|
Determine if the organization employs and maintains automatic emergency lighting for the information system that:
|
Assessment: EXAMINE
Physical and environmental protection policy
procedures addressing emergency lighting
emergency lighting documentation
emergency lighting test records
emergency exits and evacuation routes
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibility for emergency lighting and/or planning
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms supporting and/or implementing emergency lighting capability
Control enhancements
PE-12 (1) ESSENTIAL MISSIONS / BUSINESS FUNCTIONS
Control
|
The organization provides emergency lighting for all areas within the facility supporting essential missions and business functions. |
Objective
|
Determine if the organization provides emergency lighting for all areas within the facility supporting essential missions and business functions. |
Assessment: EXAMINE
Physical and environmental protection policy
procedures addressing emergency lighting
emergency lighting documentation
emergency lighting test records
emergency exits and evacuation routes
areas/locations within facility supporting essential missions and business functions
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibility for emergency lighting and/or planning
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms supporting and/or implementing emergency lighting capability
References: None
PE-13 FIRE PROTECTION
Control
|
The organization employs and maintains fire suppression and detection devices/systems for the information system that are supported by an independent energy source. |
Supplemental guidance
This control applies primarily to facilities containing concentrations of information system resources including, for example, data centers, server rooms, and mainframe computer rooms. Fire suppression and detection devices/systems include, for example, sprinkler systems, handheld fire extinguishers, fixed fire hoses, and smoke detectors.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Physical and environmental protection policy
procedures addressing fire protection
fire suppression and detection devices/systems
fire suppression and detection devices/systems documentation
test records of fire suppression and detection devices/systems
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibilities for fire detection and suppression devices/systems
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms supporting and/or implementing fire suppression/detection devices/systems
Control enhancements
PE-13 (1) DETECTION DEVICES / SYSTEMS
Label: INSERT into pe-13..1.
Parameter: pe-13_prm_1 organization-defined personnel or roles
Label: INSERT into pe-13..1.
Parameter: pe-13_prm_2 organization-defined emergency responders
Control
|
The organization employs fire detection devices/systems for the information system that activate automatically and notify pe-13_prm_1 INSERT into pe-13..1. [NO PARAMETER VALUE GIVEN] and pe-13_prm_2 INSERT into pe-13..1. [NO PARAMETER VALUE GIVEN] in the event of a fire. |
Supplemental guidance
Organizations can identify specific personnel, roles, and emergency responders in the event that individuals on the notification list must have appropriate access authorizations and/or clearances, for example, to obtain access to facilities where classified operations are taking place or where there are information systems containing classified information.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Physical and environmental protection policy
procedures addressing fire protection
facility housing the information system
alarm service-level agreements
test records of fire suppression and detection devices/systems
fire suppression and detection devices/systems documentation
alerts/notifications of fire events
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibilities for fire detection and suppression devices/systems
organizational personnel with responsibilities for notifying appropriate personnel, roles, and emergency responders of fires
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms supporting and/or implementing fire detection devices/systems
activation of fire detection devices/systems (simulated)
automated notifications
PE-13 (2) SUPPRESSION DEVICES / SYSTEMS
Label: INSERT into pe-13..2.
Parameter: pe-13_prm_3 organization-defined emergency responders
Control
|
The organization employs fire suppression devices/systems for the information system that provide automatic notification of any activation to Assignment: organization-defined personnel or roles] and pe-13_prm_3 INSERT into pe-13..2. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Organizations can identify specific personnel, roles, and emergency responders in the event that individuals on the notification list must have appropriate access authorizations and/or clearances, for example, to obtain access to facilities where classified operations are taking place or where there are information systems containing classified information.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Physical and environmental protection policy
procedures addressing fire protection
fire suppression and detection devices/systems documentation
facility housing the information system
alarm service-level agreements
test records of fire suppression and detection devices/systems
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibilities for fire detection and suppression devices/systems
organizational personnel with responsibilities for providing automatic notifications of any activation of fire suppression devices/systems to appropriate personnel, roles, and emergency responders
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms supporting and/or implementing fire suppression devices/systems
activation of fire suppression devices/systems (simulated)
automated notifications
PE-13 (3) AUTOMATIC FIRE SUPPRESSION
Control
|
The organization employs an automatic fire suppression capability for the information system when the facility is not staffed on a continuous basis. |
Objective
|
Determine if the organization employs an automatic fire suppression capability for the information system when the facility is not staffed on a continuous basis. |
Assessment: EXAMINE
Physical and environmental protection policy
procedures addressing fire protection
fire suppression and detection devices/systems documentation
facility housing the information system
alarm service-level agreements
test records of fire suppression and detection devices/systems
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibilities for fire detection and suppression devices/systems
organizational personnel with responsibilities for providing automatic notifications of any activation of fire suppression devices/systems to appropriate personnel, roles, and emergency responders
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms supporting and/or implementing fire suppression devices/systems
activation of fire suppression devices/systems (simulated)
PE-13 (4) INSPECTIONS
Label: INSERT into pe-13..4.
Parameter: pe-13_prm_4 organization-defined frequency
Label: INSERT into pe-13..4.
Parameter: pe-13_prm_5 organization-defined time period
Control
|
The organization ensures that the facility undergoes pe-13_prm_4 INSERT into pe-13..4. [NO PARAMETER VALUE GIVEN] inspections by authorized and qualified inspectors and resolves identified deficiencies within pe-13_prm_5 INSERT into pe-13..4. [NO PARAMETER VALUE GIVEN] . |
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Physical and environmental protection policy
procedures addressing fire protection
security plan
facility housing the information system
inspection plans
inspection results
inspect reports
test records of fire suppression and detection devices/systems
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibilities for planning, approving, and executing fire inspections
organizational personnel with information security responsibilities
References: None
PE-14 TEMPERATURE AND HUMIDITY CONTROLS
Label: INSERT into pe-14_smt_a (PE-14a.)
Parameter: pe-14_prm_1 organization-defined acceptable levels
Label: INSERT into pe-14_smt_b (PE-14b.)
Parameter: pe-14_prm_2 organization-defined frequency
Control
|
The organization:
|
Supplemental guidance
This control applies primarily to facilities containing concentrations of information system resources, for example, data centers, server rooms, and mainframe computer rooms.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Physical and environmental protection policy
procedures addressing temperature and humidity control
security plan
temperature and humidity controls
facility housing the information system
temperature and humidity controls documentation
temperature and humidity records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibilities for information system environmental controls
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms supporting and/or implementing maintenance and monitoring of temperature and humidity levels
Control enhancements
PE-14 (1) AUTOMATIC CONTROLS
Control
|
The organization employs automatic temperature and humidity controls in the facility to prevent fluctuations potentially harmful to the information system. |
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Physical and environmental protection policy
procedures addressing temperature and humidity controls
facility housing the information system
automated mechanisms for temperature and humidity
temperature and humidity controls
temperature and humidity documentation
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibilities for information system environmental controls
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms supporting and/or implementing temperature and humidity levels
PE-14 (2) MONITORING WITH ALARMS / NOTIFICATIONS
Control
|
The organization employs temperature and humidity monitoring that provides an alarm or notification of changes potentially harmful to personnel or equipment. |
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Physical and environmental protection policy
procedures addressing temperature and humidity monitoring
facility housing the information system
logs or records of temperature and humidity monitoring
records of changes to temperature and humidity levels that generate alarms or notifications
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibilities for information system environmental controls
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms supporting and/or implementing temperature and humidity monitoring
References: None
PE-15 WATER DAMAGE PROTECTION
Control
|
The organization protects the information system from damage resulting from water leakage by providing master shutoff or isolation valves that are accessible, working properly, and known to key personnel. |
Supplemental guidance
This control applies primarily to facilities containing concentrations of information system resources including, for example, data centers, server rooms, and mainframe computer rooms. Isolation valves can be employed in addition to or in lieu of master shutoff valves to shut off water supplies in specific areas of concern, without affecting entire organizations.
Objectives
|
Determine if the organization protects the information system from damage resulting from water leakage by providing master shutoff or isolation valves that are:
|
Assessment: EXAMINE
Physical and environmental protection policy
procedures addressing water damage protection
facility housing the information system
master shutoff valves
list of key personnel with knowledge of location and activation procedures for master shutoff valves for the plumbing system
master shutoff valve documentation
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibilities for information system environmental controls
organizational personnel with information security responsibilities
Assessment: TEST
Master water-shutoff valves
organizational process for activating master water-shutoff
Control enhancements
PE-15 (1) AUTOMATION SUPPORT
Label: INSERT into pe-15..1.
Parameter: pe-15_prm_1 organization-defined personnel or roles
Control
|
The organization employs automated mechanisms to detect the presence of water in the vicinity of the information system and alerts pe-15_prm_1 INSERT into pe-15..1. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Automated mechanisms can include, for example, water detection sensors, alarms, and notification systems.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Physical and environmental protection policy
procedures addressing water damage protection
facility housing the information system
automated mechanisms for water shutoff valves
automated mechanisms detecting presence of water in vicinity of information system
alerts/notifications of water detection in information system facility
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibilities for information system environmental controls
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms supporting and/or implementing water detection capability and alerts for the information system
References: None
PE-16 DELIVERY AND REMOVAL
Label: INSERT into pe-16
Parameter: pe-16_prm_1 organization-defined types of information system components
Control
|
The organization authorizes, monitors, and controls pe-16_prm_1 INSERT into pe-16 [NO PARAMETER VALUE GIVEN] entering and exiting the facility and maintains records of those items. |
Supplemental guidance
Effectively enforcing authorizations for entry and exit of information system components may require restricting access to delivery areas and possibly isolating the areas from the information system and media libraries.
cf CM-3: CONFIGURATION CHANGE CONTROL
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Physical and environmental protection policy
procedures addressing delivery and removal of information system components from the facility
security plan
facility housing the information system
records of items entering and exiting the facility
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibilities for controlling information system components entering and exiting the facility
organizational personnel with information security responsibilities
Assessment: TEST
Organizational process for authorizing, monitoring, and controlling information system-related items entering and exiting the facility
automated mechanisms supporting and/or implementing authorizing, monitoring, and controlling information system-related items entering and exiting the facility
References: None
PE-17 ALTERNATE WORK SITE
Label: INSERT into pe-17_smt_a (PE-17a.)
Parameter: pe-17_prm_1 organization-defined security controls
Control
|
The organization:
|
Supplemental guidance
Alternate work sites may include, for example, government facilities or private residences of employees. While commonly distinct from alternative processing sites, alternate work sites may provide readily available alternate locations as part of contingency operations. Organizations may define different sets of security controls for specific alternate work sites or types of sites depending on the work-related activities conducted at those sites. This control supports the contingency planning activities of organizations and the federal telework initiative.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Physical and environmental protection policy
procedures addressing alternate work sites for organizational personnel
security plan
list of security controls required for alternate work sites
assessments of security controls at alternate work sites
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel approving use of alternate work sites
organizational personnel using alternate work sites
organizational personnel assessing controls at alternate work sites
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for security at alternate work sites
automated mechanisms supporting alternate work sites
security controls employed at alternate work sites
means of communications between personnel at alternate work sites and security personnel
References
PE-18 LOCATION OF INFORMATION SYSTEM COMPONENTS
Label: INSERT into pe-18
Parameter: pe-18_prm_1 organization-defined physical and environmental hazards
Control
|
The organization positions information system components within the facility to minimize potential damage from pe-18_prm_1 INSERT into pe-18 [NO PARAMETER VALUE GIVEN] and to minimize the opportunity for unauthorized access. |
Supplemental guidance
Physical and environmental hazards include, for example, flooding, fire, tornados, earthquakes, hurricanes, acts of terrorism, vandalism, electromagnetic pulse, electrical interference, and other forms of incoming electromagnetic radiation. In addition, organizations consider the location of physical entry points where unauthorized individuals, while not being granted access, might nonetheless be in close proximity to information systems and therefore increase the potential for unauthorized access to organizational communications (e.g., through the use of wireless sniffers or microphones).
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Physical and environmental protection policy
procedures addressing positioning of information system components
documentation providing the location and position of information system components within the facility
locations housing information system components within the facility
list of physical and environmental hazards with potential to damage information system components within the facility
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibilities for positioning information system components
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for positioning information system components
Control enhancements
PE-18 (1) FACILITY SITE
Control
|
The organization plans the location or site of the facility where the information system resides with regard to physical and environmental hazards and for existing facilities, considers the physical and environmental hazards in its risk mitigation strategy. |
Supplemental guidance
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Physical and environmental protection policy
physical site planning documents
organizational assessment of risk, contingency plan
risk mitigation strategy documentation
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with site selection responsibilities for the facility housing the information system
organizational personnel with risk mitigation responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for site planning
References: None
PE-19 INFORMATION LEAKAGE
Control
|
The organization protects the information system from information leakage due to electromagnetic signals emanations. |
Supplemental guidance
Information leakage is the intentional or unintentional release of information to an untrusted environment from electromagnetic signals emanations. Security categories or classifications of information systems (with respect to confidentiality) and organizational security policies guide the selection of security controls employed to protect systems against information leakage due to electromagnetic signals emanations.
Objective
|
Determine if the organization protects the information system from information leakage due to electromagnetic signals emanations. |
Assessment: EXAMINE
Physical and environmental protection policy
procedures addressing information leakage due to electromagnetic signals emanations
mechanisms protecting the information system against electronic signals emanation
facility housing the information system
records from electromagnetic signals emanation tests
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibilities for information system environmental controls
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms supporting and/or implementing protection from information leakage due to electromagnetic signals emanations
Control enhancements
PE-19 (1) NATIONAL EMISSIONS / TEMPEST POLICIES AND PROCEDURES
Control
|
The organization ensures that information system components, associated data communications, and networks are protected in accordance with national emissions and TEMPEST policies and procedures based on the security category or classification of the information. |
Objectives
|
Determine if the organization ensures that the following are protected in accordance with national emissions and TEMPEST policies and procedures based on the security category or classification of the information:
|
Assessment: EXAMINE
Physical and environmental protection policy
procedures addressing information leakage that comply with national emissions and TEMPEST policies and procedures
information system component design documentation
information system configuration settings and associated documentation other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibilities for information system environmental controls
organizational personnel with information security responsibilities
Assessment: TEST
Information system components for compliance with national emissions and TEMPEST policies and procedures
References
PE-20 ASSET MONITORING AND TRACKING
Label: INSERT into pe-20_smt_a (PE-20a.)
Parameter: pe-20_prm_1 organization-defined asset location technologies
Label: INSERT into pe-20_smt_a (PE-20a.)
Parameter: pe-20_prm_2 organization-defined assets
Label: INSERT into pe-20_smt_a (PE-20a.)
Parameter: pe-20_prm_3 organization-defined controlled areas
Control
|
The organization:
|
Supplemental guidance
Asset location technologies can help organizations ensure that critical assets such as vehicles or essential information system components remain in authorized locations. Organizations consult with the Office of the General Counsel and the Senior Agency Official for Privacy (SAOP)/Chief Privacy Officer (CPO) regarding the deployment and use of asset location technologies to address potential privacy concerns.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Physical and environmental protection policy
procedures addressing asset monitoring and tracking
asset location technologies and associated configuration documentation
list of organizational assets requiring tracking and monitoring
asset monitoring and tracking records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with asset monitoring and tracking responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for tracking and monitoring assets
automated mechanisms supporting and/or implementing tracking and monitoring of assets
References: None
PLANNING
PL-1 SECURITY PLANNING POLICY AND PROCEDURES
Label: INSERT into pl-1_smt_a (PL-1a.)
Parameter: pl-1_prm_1 organization-defined personnel or roles
Label: INSERT into pl-1_smt_b.1 (PL-1b.1.)
Parameter: pl-1_prm_2 organization-defined frequency
Label: INSERT into pl-1_smt_b.2 (PL-1b.2.)
Parameter: pl-1_prm_3 organization-defined frequency
Control
|
The organization:
|
Supplemental guidance
This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the PL family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Planning policy and procedures
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with planning responsibilities
organizational personnel with information security responsibilities
PL-2 SYSTEM SECURITY PLAN
Label: INSERT into pl-2_smt_b (PL-2b.)
Parameter: pl-2_prm_1 organization-defined personnel or roles
Label: INSERT into pl-2_smt_c (PL-2c.)
Parameter: pl-2_prm_2 organization-defined frequency
Control
|
The organization:
|
Supplemental guidance
Security plans relate security requirements to a set of security controls and control enhancements. Security plans also describe, at a high level, how the security controls and control enhancements meet those security requirements, but do not provide detailed, technical descriptions of the specific design or implementation of the controls/enhancements. Security plans contain sufficient information (including the specification of parameter values for assignment and selection statements either explicitly or by reference) to enable a design and implementation that is unambiguously compliant with the intent of the plans and subsequent determinations of risk to organizational operations and assets, individuals, other organizations, and the Nation if the plan is implemented as intended. Organizations can also apply tailoring guidance to the security control baselines in Appendix D and CNSS Instruction 1253 to develop overlays for community-wide use or to address specialized requirements, technologies, or missions/environments of operation (e.g., DoD-tactical, Federal Public Key Infrastructure, or Federal Identity, Credential, and Access Management, space operations). Appendix I provides guidance on developing overlays. Security plans need not be single documents; the plans can be a collection of various documents including documents that already exist. Effective security plans make extensive use of references to policies, procedures, and additional documents (e.g., design and implementation specifications) where more detailed information can be obtained. This reduces the documentation requirements associated with security programs and maintains security-related information in other established management/operational areas related to enterprise architecture, system development life cycle, systems engineering, and acquisition. For example, security plans do not contain detailed contingency plan or incident response plan information but instead provide explicitly or by reference, sufficient information to define what needs to be accomplished by those plans.
cf AC-14: PERMITTED ACTIONS WITHOUT IDENTIFICATION OR AUTHENTICATION
cf AC-20: USE OF EXTERNAL INFORMATION SYSTEMS
cf CA-3: SYSTEM INTERCONNECTIONS
cf CA-7: CONTINUOUS MONITORING
cf CM-9: CONFIGURATION MANAGEMENT PLAN
cf IR-8: INCIDENT RESPONSE PLAN
cf MA-5: MAINTENANCE PERSONNEL
cf PL-7: SECURITY CONCEPT OF OPERATIONS
cf PM-1: INFORMATION SECURITY PROGRAM PLAN
cf PM-7: ENTERPRISE ARCHITECTURE
cf PM-8: CRITICAL INFRASTRUCTURE PLAN
cf PM-9: RISK MANAGEMENT STRATEGY
cf PM-11: MISSION/BUSINESS PROCESS DEFINITION
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Security planning policy
procedures addressing security plan development and implementation
procedures addressing security plan reviews and updates
enterprise architecture documentation
security plan for the information system
records of security plan reviews and updates
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with security planning and plan implementation responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for security plan development/review/update/approval
automated mechanisms supporting the information system security plan
Control enhancements
PL-2 (1) CONCEPT OF OPERATIONS
cf PL-7: SECURITY CONCEPT OF OPERATIONS
Control
|
Withdrawn: Incorporated into PL-7. |
PL-2 (2) FUNCTIONAL ARCHITECTURE
cf PL-8: INFORMATION SECURITY ARCHITECTURE
Control
|
Withdrawn: Incorporated into PL-8. |
PL-2 (3) PLAN / COORDINATE WITH OTHER ORGANIZATIONAL ENTITIES
Label: INSERT into pl-2..3.
Parameter: pl-2_prm_3 organization-defined individuals or groups
Control
|
The organization plans and coordinates security-related activities affecting the information system with pl-2_prm_3 INSERT into pl-2..3. [NO PARAMETER VALUE GIVEN] before conducting such activities in order to reduce the impact on other organizational entities. |
Supplemental guidance
Security-related activities include, for example, security assessments, audits, hardware and software maintenance, patch management, and contingency plan testing. Advance planning and coordination includes emergency and nonemergency (i.e., planned or nonurgent unplanned) situations. The process defined by organizations to plan and coordinate security-related activities can be included in security plans for information systems or other documents, as appropriate.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Security planning policy
access control policy
contingency planning policy
procedures addressing security-related activity planning for the information system
security plan for the information system
contingency plan for the information system
information system design documentation
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with security planning and plan implementation responsibilities
organizational individuals or groups with whom security-related activities are to be planned and coordinated
organizational personnel with information security responsibilities
References
PL-3 SYSTEM SECURITY PLAN UPDATE
Control
|
Withdrawn: Incorporated into PL-2. |
References: None
PL-4 RULES OF BEHAVIOR
Label: INSERT into pl-4_smt_c (PL-4c.)
Parameter: pl-4_prm_1 organization-defined frequency
Control
|
The organization:
|
Supplemental guidance
This control enhancement applies to organizational users. Organizations consider rules of behavior based on individual user roles and responsibilities, differentiating, for example, between rules that apply to privileged users and rules that apply to general users. Establishing rules of behavior for some types of non-organizational users including, for example, individuals who simply receive data/information from federal information systems, is often not feasible given the large number of such users and the limited nature of their interactions with the systems. Rules of behavior for both organizational and non-organizational users can also be established in AC-8, System Use Notification. PL-4 b. (the signed acknowledgment portion of this control) may be satisfied by the security awareness training and role-based security training programs conducted by organizations if such training includes rules of behavior. Organizations can use electronic signatures for acknowledging rules of behavior.
cf AC-8: SYSTEM USE NOTIFICATION
cf AC-9: PREVIOUS LOGON (ACCESS) NOTIFICATION
cf AC-19: ACCESS CONTROL FOR MOBILE DEVICES
cf AC-20: USE OF EXTERNAL INFORMATION SYSTEMS
cf AT-2: SECURITY AWARENESS TRAINING
cf AT-3: ROLE-BASED SECURITY TRAINING
cf CM-11: USER-INSTALLED SOFTWARE
cf IA-2: IDENTIFICATION AND AUTHENTICATION (ORGANIZATIONAL USERS)
cf IA-4: IDENTIFIER MANAGEMENT
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Security planning policy
procedures addressing rules of behavior for information system users
rules of behavior
signed acknowledgements
records for rules of behavior reviews and updates
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibility for establishing, reviewing, and updating rules of behavior
organizational personnel who are authorized users of the information system and have signed and resigned rules of behavior
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for establishing, reviewing, disseminating, and updating rules of behavior
automated mechanisms supporting and/or implementing the establishment, review, dissemination, and update of rules of behavior
Control enhancements
PL-4 (1) SOCIAL MEDIA AND NETWORKING RESTRICTIONS
Control
|
The organization includes in the rules of behavior, explicit restrictions on the use of social media/networking sites and posting organizational information on public websites. |
Supplemental guidance
This control enhancement addresses rules of behavior related to the use of social media/networking sites: (i) when organizational personnel are using such sites for official duties or in the conduct of official business; (ii) when organizational information is involved in social media/networking transactions; and (iii) when personnel are accessing social media/networking sites from organizational information systems. Organizations also address specific rules that prevent unauthorized entities from obtaining and/or inferring non-public organizational information (e.g., system account information, personally identifiable information) from social media/networking sites.
Objectives
|
Determine if the organization includes the following in the rules of behavior:
|
Assessment: EXAMINE
Security planning policy
procedures addressing rules of behavior for information system users
rules of behavior
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibility for establishing, reviewing, and updating rules of behavior
organizational personnel who are authorized users of the information system and have signed rules of behavior
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for establishing rules of behavior
automated mechanisms supporting and/or implementing the establishment of rules of behavior
References
PL-5 PRIVACY IMPACT ASSESSMENT
Control
|
Withdrawn: Incorporated into Appendix J, AR-2. |
References: None
PL-6 SECURITY-RELATED ACTIVITY PLANNING
Control
|
Withdrawn: Incorporated into PL-2. |
References: None
PL-7 SECURITY CONCEPT OF OPERATIONS
Label: INSERT into pl-7_smt_b (PL-7b.)
Parameter: pl-7_prm_1 organization-defined frequency
Control
|
The organization:
|
Supplemental guidance
The security CONOPS may be included in the security plan for the information system or in other system development life cycle-related documents, as appropriate. Changes to the CONOPS are reflected in ongoing updates to the security plan, the information security architecture, and other appropriate organizational documents (e.g., security specifications for procurements/acquisitions, system development life cycle documents, and systems/security engineering documents).
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Security planning policy
procedures addressing security CONOPS development
procedures addressing security CONOPS reviews and updates
security CONOPS for the information system
security plan for the information system
records of security CONOPS reviews and updates
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with security planning and plan implementation responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for developing, reviewing, and updating the security CONOPS
automated mechanisms supporting and/or implementing the development, review, and update of the security CONOPS
References: None
PL-8 INFORMATION SECURITY ARCHITECTURE
Label: INSERT into pl-8_smt_b (PL-8b.)
Parameter: pl-8_prm_1 organization-defined frequency
Control
|
The organization:
|
Supplemental guidance
This control addresses actions taken by organizations in the design and development of information systems. The information security architecture at the individual information system level is consistent with and complements the more global, organization-wide information security architecture described in PM-7 that is integral to and developed as part of the enterprise architecture. The information security architecture includes an architectural description, the placement/allocation of security functionality (including security controls), security-related information for external interfaces, information being exchanged across the interfaces, and the protection mechanisms associated with each interface. In addition, the security architecture can include other important security-related information, for example, user roles and access privileges assigned to each role, unique security requirements, the types of information processed, stored, and transmitted by the information system, restoration priorities of information and information system services, and any other specific protection needs. In today’s modern architecture, it is becoming less common for organizations to control all information resources. There are going to be key dependencies on external information services and service providers. Describing such dependencies in the information security architecture is important to developing a comprehensive mission/business protection strategy. Establishing, developing, documenting, and maintaining under configuration control, a baseline configuration for organizational information systems is critical to implementing and maintaining an effective information security architecture. The development of the information security architecture is coordinated with the Senior Agency Official for Privacy (SAOP)/Chief Privacy Officer (CPO) to ensure that security controls needed to support privacy requirements are identified and effectively implemented. PL-8 is primarily directed at organizations (i.e., internally focused) to help ensure that organizations develop an information security architecture for the information system, and that the security architecture is integrated with or tightly coupled to the enterprise architecture through the organization-wide information security architecture. In contrast, SA-17 is primarily directed at external information technology product/system developers and integrators (although SA-17 could be used internally within organizations for in-house system development). SA-17, which is complementary to PL-8, is selected when organizations outsource the development of information systems or information system components to external entities, and there is a need to demonstrate/show consistency with the organization’s enterprise architecture and information security architecture.
cf CM-2: BASELINE CONFIGURATION
cf CM-6: CONFIGURATION SETTINGS
cf PM-7: ENTERPRISE ARCHITECTURE
cf SA-5: INFORMATION SYSTEM DOCUMENTATION
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Security planning policy
procedures addressing information security architecture development
procedures addressing information security architecture reviews and updates
enterprise architecture documentation
information security architecture documentation
security plan for the information system
security CONOPS for the information system
records of information security architecture reviews and updates
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with security planning and plan implementation responsibilities
organizational personnel with information security architecture development responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for developing, reviewing, and updating the information security architecture
automated mechanisms supporting and/or implementing the development, review, and update of the information security architecture
Control enhancements
PL-8 (1) DEFENSE-IN-DEPTH
Label: INSERT into pl-8..1._smt_a (PL-8 (1)(a))
Parameter: pl-8_prm_2 organization-defined security safeguards
Label: INSERT into pl-8..1._smt_a (PL-8 (1)(a))
Parameter: pl-8_prm_3 organization-defined locations and architectural layers
Control
|
The organization designs its security architecture using a defense-in-depth approach that:
|
Supplemental guidance
Organizations strategically allocate security safeguards (procedural, technical, or both) in the security architecture so that adversaries have to overcome multiple safeguards to achieve their objective. Requiring adversaries to defeat multiple mechanisms makes it more difficult to successfully attack critical information resources (i.e., increases adversary work factor) and also increases the likelihood of detection. The coordination of allocated safeguards is essential to ensure that an attack that involves one safeguard does not create adverse unintended consequences (e.g., lockout, cascading alarms) by interfering with another safeguard. Placement of security safeguards is a key activity. Greater asset criticality or information value merits additional layering. Thus, an organization may choose to place anti-virus software at organizational boundary layers, email/web servers, notebook computers, and workstations to maximize the number of related safeguards adversaries must penetrate before compromising the information and information systems.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Security planning policy
procedures addressing information security architecture development
enterprise architecture documentation
information security architecture documentation
security plan for the information system
security CONOPS for the information system
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with security planning and plan implementation responsibilities
organizational personnel with information security architecture development responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for designing the information security architecture
automated mechanisms supporting and/or implementing the design of the information security architecture
PL-8 (2) SUPPLIER DIVERSITY
Label: INSERT into pl-8..2.
Parameter: pl-8_prm_4 organization-defined security safeguards
Label: INSERT into pl-8..2.
Parameter: pl-8_prm_5 organization-defined locations and architectural layers
Control
|
The organization requires that pl-8_prm_4 INSERT into pl-8..2. [NO PARAMETER VALUE GIVEN] allocated to pl-8_prm_5 INSERT into pl-8..2. [NO PARAMETER VALUE GIVEN] are obtained from different suppliers. |
Supplemental guidance
Different information technology products have different strengths and weaknesses. Providing a broad spectrum of products complements the individual offerings. For example, vendors offering malicious code protection typically update their products at different times, often developing solutions for known viruses, Trojans, or worms according to their priorities and development schedules. By having different products at different locations (e.g., server, boundary, desktop) there is an increased likelihood that at least one will detect the malicious code.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Security planning policy
procedures addressing information security architecture development
enterprise architecture documentation
information security architecture documentation
security plan for the information system
security CONOPS for the information system
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with security planning and plan implementation responsibilities
organizational personnel with information security architecture development responsibilities
organizational personnel with acquisition responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for obtaining information security safeguards from different suppliers
References: None
PL-9 CENTRAL MANAGEMENT
Label: INSERT into pl-9
Parameter: pl-9_prm_1 organization-defined security controls and related processes
Control
|
The organization centrally manages pl-9_prm_1 INSERT into pl-9 [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Central management refers to the organization-wide management and implementation of selected security controls and related processes. Central management includes planning, implementing, assessing, authorizing, and monitoring the organization-defined, centrally managed security controls and processes. As central management of security controls is generally associated with common controls, such management promotes and facilitates standardization of security control implementations and management and judicious use of organizational resources. Centrally-managed security controls and processes may also meet independence requirements for assessments in support of initial and ongoing authorizations to operate as part of organizational continuous monitoring. As part of the security control selection process, organizations determine which controls may be suitable for central management based on organizational resources and capabilities. Organizations consider that it may not always be possible to centrally manage every aspect of a security control. In such cases, the security control is treated as a hybrid control with the control managed and implemented either centrally or at the information system level. Controls and control enhancements that are candidates for full or partial central management include, but are not limited to: AC-2 (1) (2) (3) (4); AC-17 (1) (2) (3) (9); AC-18 (1) (3) (4) (5); AC-19 (4); AC-22; AC-23; AT-2 (1) (2); AT-3 (1) (2) (3); AT-4; AU-6 (1) (3) (5) (6) (9); AU-7 (1) (2); AU-11, AU-13, AU-16, CA-2 (1) (2) (3); CA-3 (1) (2) (3); CA-7 (1); CA-9; CM-2 (1) (2); CM-3 (1) (4); CM-4; CM-6 (1); CM-7 (4) (5); CM-8 (all); CM-9 (1); CM-10; CM-11; CP-7 (all); CP-8 (all); SC-43; SI-2; SI-3; SI-7; and SI-8.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Security planning policy
procedures addressing security plan development and implementation
security plan for the information system
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with security planning and plan implementation responsibilities
organizational personnel with responsibilities for planning/implementing central management of security controls and related processes
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for central management of security controls and related processes
automated mechanisms supporting and/or implementing central management of security controls and related processes
References
PERSONNEL SECURITY
PS-1 PERSONNEL SECURITY POLICY AND PROCEDURES
Label: INSERT into ps-1_smt_a (PS-1a.)
Parameter: ps-1_prm_1 organization-defined personnel or roles
Label: INSERT into ps-1_smt_b.1 (PS-1b.1.)
Parameter: ps-1_prm_2 organization-defined frequency
Label: INSERT into ps-1_smt_b.2 (PS-1b.2.)
Parameter: ps-1_prm_3 organization-defined frequency
Control
|
The organization:
|
Supplemental guidance
This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the PS family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Personnel security policy and procedures
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with access control responsibilities
organizational personnel with information security responsibilities
PS-2 POSITION RISK DESIGNATION
Label: INSERT into ps-2_smt_c (PS-2c.)
Parameter: ps-2_prm_1 organization-defined frequency
Control
|
The organization:
|
Supplemental guidance
Position risk designations reflect Office of Personnel Management policy and guidance. Risk designations can guide and inform the types of authorizations individuals receive when accessing organizational information and information systems. Position screening criteria include explicit information security role appointment requirements (e.g., training, security clearances).
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Personnel security policy
procedures addressing position categorization
appropriate codes of federal regulations
list of risk designations for organizational positions
security plan
records of position risk designation reviews and updates
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with personnel security responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for assigning, reviewing, and updating position risk designations
organizational processes for establishing screening criteria
References
PS-3 PERSONNEL SCREENING
Label: INSERT into ps-3_smt_b (PS-3b.)
Parameter: ps-3_prm_1 organization-defined conditions requiring rescreening and, where rescreening is so indicated, the frequency of such rescreening
Control
|
The organization:
|
Supplemental guidance
Personnel screening and rescreening activities reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, guidance, and specific criteria established for the risk designations of assigned positions. Organizations may define different rescreening conditions and frequencies for personnel accessing information systems based on types of information processed, stored, or transmitted by the systems.
cf IA-4: IDENTIFIER MANAGEMENT
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Personnel security policy
procedures addressing personnel screening
records of screened personnel
security plan
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with personnel security responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for personnel screening
Control enhancements
PS-3 (1) CLASSIFIED INFORMATION
Control
|
The organization ensures that individuals accessing an information system processing, storing, or transmitting classified information are cleared and indoctrinated to the highest classification level of the information to which they have access on the system. |
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Personnel security policy
procedures addressing personnel screening
records of screened personnel
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with personnel security responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for clearing and indoctrinating personnel for access to classified information
PS-3 (2) FORMAL INDOCTRINATION
Control
|
The organization ensures that individuals accessing an information system processing, storing, or transmitting types of classified information which require formal indoctrination, are formally indoctrinated for all of the relevant types of information to which they have access on the system. |
Supplemental guidance
Types of classified information requiring formal indoctrination include, for example, Special Access Program (SAP), Restricted Data (RD), and Sensitive Compartment Information (SCI).
Objective
|
Determine if the organization ensures that individuals accessing an information system processing, storing, or transmitting types of classified information which require formal indoctrination, are formally indoctrinated for all of the relevant types of information to which they have access on the system. |
Assessment: EXAMINE
Personnel security policy
procedures addressing personnel screening
records of screened personnel
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with personnel security responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for formal indoctrination for all relevant types of information to which personnel have access
PS-3 (3) INFORMATION WITH SPECIAL PROTECTION MEASURES
Label: INSERT into ps-3..3._smt_b (PS-3 (3)(b))
Parameter: ps-3_prm_2 organization-defined additional personnel screening criteria
Control
|
The organization ensures that individuals accessing an information system processing, storing, or transmitting information requiring special protection:
|
Supplemental guidance
Organizational information requiring special protection includes, for example, Controlled Unclassified Information (CUI) and Sources and Methods Information (SAMI). Personnel security criteria include, for example, position sensitivity background screening requirements.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Personnel security policy
access control policy, procedures addressing personnel screening
records of screened personnel
screening criteria
records of access authorizations
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with personnel security responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for ensuring valid access authorizations for information requiring special protection
organizational process for additional personnel screening for information requiring special protection
PS-4 PERSONNEL TERMINATION
Label: INSERT into ps-4_smt_a (PS-4a.)
Parameter: ps-4_prm_1 organization-defined time period
Label: INSERT into ps-4_smt_c (PS-4c.)
Parameter: ps-4_prm_2 organization-defined information security topics
Label: INSERT into ps-4_smt_f (PS-4f.)
Parameter: ps-4_prm_3 organization-defined personnel or roles
Label: INSERT into ps-4_smt_f (PS-4f.)
Parameter: ps-4_prm_4 organization-defined time period
Control
|
The organization, upon termination of individual employment:
|
Supplemental guidance
Information system-related property includes, for example, hardware authentication tokens, system administration technical manuals, keys, identification cards, and building passes. Exit interviews ensure that terminated individuals understand the security constraints imposed by being former employees and that proper accountability is achieved for information system-related property. Security topics of interest at exit interviews can include, for example, reminding terminated individuals of nondisclosure agreements and potential limitations on future employment. Exit interviews may not be possible for some terminated individuals, for example, in cases related to job abandonment, illnesses, and nonavailability of supervisors. Exit interviews are important for individuals with security clearances. Timely execution of termination actions is essential for individuals terminated for cause. In certain situations, organizations consider disabling the information system accounts of individuals that are being terminated prior to the individuals being notified.
cf IA-4: IDENTIFIER MANAGEMENT
Objectives
|
Determine if the organization, upon termination of individual employment,:
|
Assessment: EXAMINE
Personnel security policy
procedures addressing personnel termination
records of personnel termination actions
list of information system accounts
records of terminated or revoked authenticators/credentials
records of exit interviews
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with personnel security responsibilities
organizational personnel with account management responsibilities
system/network administrators
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for personnel termination
automated mechanisms supporting and/or implementing personnel termination notifications
automated mechanisms for disabling information system access/revoking authenticators
Control enhancements
PS-4 (1) POST-EMPLOYMENT REQUIREMENTS
Control
|
The organization:
|
Supplemental guidance
Organizations consult with the Office of the General Counsel regarding matters of post-employment requirements on terminated individuals.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Personnel security policy
procedures addressing personnel termination
signed post-employment acknowledgement forms
list of applicable, legally binding post-employment requirements
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with personnel security responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for post-employment requirements
PS-4 (2) AUTOMATED NOTIFICATION
Label: INSERT into ps-4..2.
Parameter: ps-4_prm_5 organization-defined personnel or roles
Control
|
The organization employs automated mechanisms to notify ps-4_prm_5 INSERT into ps-4..2. [NO PARAMETER VALUE GIVEN] upon termination of an individual. |
Supplemental guidance
In organizations with a large number of employees, not all personnel who need to know about termination actions receive the appropriate notifications—or, if such notifications are received, they may not occur in a timely manner. Automated mechanisms can be used to send automatic alerts or notifications to specific organizational personnel or roles (e.g., management personnel, supervisors, personnel security officers, information security officers, systems administrators, or information technology administrators) when individuals are terminated. Such automatic alerts or notifications can be conveyed in a variety of ways, including, for example, telephonically, via electronic mail, via text message, or via websites.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Personnel security policy
procedures addressing personnel termination
information system design documentation
information system configuration settings and associated documentation
records of personnel termination actions
automated notifications of employee terminations
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with personnel security responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for personnel termination
automated mechanisms supporting and/or implementing personnel termination notifications
References: None
PS-5 PERSONNEL TRANSFER
Label: INSERT into ps-5_smt_b (PS-5b.)
Parameter: ps-5_prm_1 organization-defined transfer or reassignment actions
Label: INSERT into ps-5_smt_b (PS-5b.)
Parameter: ps-5_prm_2 organization-defined time period following the formal transfer action
Label: INSERT into ps-5_smt_d (PS-5d.)
Parameter: ps-5_prm_3 organization-defined personnel or roles
Label: INSERT into ps-5_smt_d (PS-5d.)
Parameter: ps-5_prm_4 organization-defined time period
Control
|
The organization:
|
Supplemental guidance
This control applies when reassignments or transfers of individuals are permanent or of such extended durations as to make the actions warranted. Organizations define actions appropriate for the types of reassignments or transfers, whether permanent or extended. Actions that may be required for personnel transfers or reassignments to other positions within organizations include, for example: (i) returning old and issuing new keys, identification cards, and building passes; (ii) closing information system accounts and establishing new accounts; (iii) changing information system access authorizations (i.e., privileges); and (iv) providing for access to official records to which individuals had access at previous work locations and in previous information system accounts.
cf IA-4: IDENTIFIER MANAGEMENT
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Personnel security policy
procedures addressing personnel transfer
security plan
records of personnel transfer actions
list of information system and facility access authorizations
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with personnel security responsibilities organizational personnel with account management responsibilities
system/network administrators
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for personnel transfer
automated mechanisms supporting and/or implementing personnel transfer notifications
automated mechanisms for disabling information system access/revoking authenticators
References: None
PS-6 ACCESS AGREEMENTS
Label: INSERT into ps-6_smt_b (PS-6b.)
Parameter: ps-6_prm_1 organization-defined frequency
Label: INSERT into ps-6_smt_c.2 (PS-6c.2.)
Parameter: ps-6_prm_2 organization-defined frequency
Control
|
The organization:
|
Supplemental guidance
Access agreements include, for example, nondisclosure agreements, acceptable use agreements, rules of behavior, and conflict-of-interest agreements. Signed access agreements include an acknowledgement that individuals have read, understand, and agree to abide by the constraints associated with organizational information systems to which access is authorized. Organizations can use electronic signatures to acknowledge access agreements unless specifically prohibited by organizational policy.
cf PS-2: POSITION RISK DESIGNATION
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Personnel security policy
procedures addressing access agreements for organizational information and information systems
security plan
access agreements
records of access agreement reviews and updates
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with personnel security responsibilities
organizational personnel who have signed/resigned access agreements
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for access agreements
automated mechanisms supporting access agreements
Control enhancements
PS-6 (1) INFORMATION REQUIRING SPECIAL PROTECTION
Control
|
Withdrawn: Incorporated into PS-3. |
PS-6 (2) CLASSIFIED INFORMATION REQUIRING SPECIAL PROTECTION
Control
|
The organization ensures that access to classified information requiring special protection is granted only to individuals who:
|
Supplemental guidance
Classified information requiring special protection includes, for example, collateral information, Special Access Program (SAP) information, and Sensitive Compartmented Information (SCI). Personnel security criteria reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance.
Objectives
|
Determine if the organization ensures that access to classified information requiring special protection is granted only to individuals who:
|
Assessment: EXAMINE
Personnel security policy
procedures addressing access agreements for organizational information and information systems
access agreements
access authorizations
personnel security criteria
signed nondisclosure agreements
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with personnel security responsibilities
organizational personnel who have signed nondisclosure agreements
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for access to classified information requiring special protection
PS-6 (3) POST-EMPLOYMENT REQUIREMENTS
Control
|
The organization:
|
Supplemental guidance
Organizations consult with the Office of the General Counsel regarding matters of post-employment requirements on terminated individuals.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Personnel security policy
procedures addressing access agreements for organizational information and information systems
signed post-employment acknowledgement forms
access agreements
list of applicable, legally binding post-employment requirements
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with personnel security responsibilities
organizational personnel who have signed access agreements that include post-employment requirements
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for post-employment requirements
automated mechanisms supporting notifications and individual acknowledgements of post-employment requirements
References: None
PS-7 THIRD-PARTY PERSONNEL SECURITY
Label: INSERT into ps-7_smt_d (PS-7d.)
Parameter: ps-7_prm_1 organization-defined personnel or roles
Label: INSERT into ps-7_smt_d (PS-7d.)
Parameter: ps-7_prm_2 organization-defined time period
Control
|
The organization:
|
Supplemental guidance
Third-party providers include, for example, service bureaus, contractors, and other organizations providing information system development, information technology services, outsourced applications, and network and security management. Organizations explicitly include personnel security requirements in acquisition-related documents. Third-party providers may have personnel working at organizational facilities with credentials, badges, or information system privileges issued by organizations. Notifications of third-party personnel changes ensure appropriate termination of privileges and credentials. Organizations define the transfers and terminations deemed reportable by security-related characteristics that include, for example, functions, roles, and nature of credentials/privileges associated with individuals transferred or terminated.
cf PS-2: POSITION RISK DESIGNATION
cf PS-4: PERSONNEL TERMINATION
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Personnel security policy
procedures addressing third-party personnel security
list of personnel security requirements
acquisition documents
service-level agreements
compliance monitoring process
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with personnel security responsibilities
third-party providers
system/network administrators
organizational personnel with account management responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for managing and monitoring third-party personnel security
automated mechanisms supporting and/or implementing monitoring of provider compliance
References
PS-8 PERSONNEL SANCTIONS
Label: INSERT into ps-8_smt_b (PS-8b.)
Parameter: ps-8_prm_1 organization-defined personnel or roles
Label: INSERT into ps-8_smt_b (PS-8b.)
Parameter: ps-8_prm_2 organization-defined time period
Control
|
The organization:
|
Supplemental guidance
Organizational sanctions processes reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Sanctions processes are described in access agreements and can be included as part of general personnel policies and procedures for organizations. Organizations consult with the Office of the General Counsel regarding matters of employee sanctions.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Personnel security policy
procedures addressing personnel sanctions
rules of behavior
records of formal sanctions
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with personnel security responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for managing personnel sanctions
automated mechanisms supporting and/or implementing notifications
References: None
RISK ASSESSMENT
RA-1 RISK ASSESSMENT POLICY AND PROCEDURES
Label: INSERT into ra-1_smt_a (RA-1a.)
Parameter: ra-1_prm_1 organization-defined personnel or roles
Label: INSERT into ra-1_smt_b.1 (RA-1b.1.)
Parameter: ra-1_prm_2 organization-defined frequency
Label: INSERT into ra-1_smt_b.2 (RA-1b.2.)
Parameter: ra-1_prm_3 organization-defined frequency
Control
|
The organization:
|
Supplemental guidance
This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the RA family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
risk assessment policy and procedures
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with risk assessment responsibilities
organizational personnel with information security responsibilities
RA-2 SECURITY CATEGORIZATION
Control
|
The organization:
|
Supplemental guidance
Clearly defined authorization boundaries are a prerequisite for effective security categorization decisions. Security categories describe the potential adverse impacts to organizational operations, organizational assets, and individuals if organizational information and information systems are comprised through a loss of confidentiality, integrity, or availability. Organizations conduct the security categorization process as an organization-wide activity with the involvement of chief information officers, senior information security officers, information system owners, mission/business owners, and information owners/stewards. Organizations also consider the potential adverse impacts to other organizations and, in accordance with the USA PATRIOT Act of 2001 and Homeland Security Presidential Directives, potential national-level adverse impacts. Security categorization processes carried out by organizations facilitate the development of inventories of information assets, and along with CM-8, mappings to specific information system components where information is processed, stored, or transmitted.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Risk assessment policy
security planning policy and procedures
procedures addressing security categorization of organizational information and information systems
security plan
security categorization documentation
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with security categorization and risk assessment responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for security categorization
RA-3 RISK ASSESSMENT
Label: SELECT for { ancestor-or-self::*[@id][1]/@id }
Parameter: ra-3_prm_1 Insertion into RA-3b.
security plan
risk assessment report
ra-3_prm_2 INSERT into ra-3_smt_b (RA-3b.) [NO PARAMETER VALUE GIVEN]
Label: INSERT into ra-3_smt_b (RA-3b.)
Parameter: ra-3_prm_2 organization-defined document
Label: INSERT into ra-3_smt_c (RA-3c.)
Parameter: ra-3_prm_3 organization-defined frequency
Label: INSERT into ra-3_smt_d (RA-3d.)
Parameter: ra-3_prm_4 organization-defined personnel or roles
Label: INSERT into ra-3_smt_e (RA-3e.)
Parameter: ra-3_prm_5 organization-defined frequency
Control
|
The organization:
|
Supplemental guidance
Clearly defined authorization boundaries are a prerequisite for effective risk assessments. Risk assessments take into account threats, vulnerabilities, likelihood, and impact to organizational operations and assets, individuals, other organizations, and the Nation based on the operation and use of information systems. Risk assessments also take into account risk from external parties (e.g., service providers, contractors operating information systems on behalf of the organization, individuals accessing organizational information systems, outsourcing entities). In accordance with OMB policy and related E-authentication initiatives, authentication of public users accessing federal information systems may also be required to protect nonpublic or privacy-related information. As such, organizational assessments of risk also address public access to federal information systems. Risk assessments (either formal or informal) can be conducted at all three tiers in the risk management hierarchy (i.e., organization level, mission/business process level, or information system level) and at any phase in the system development life cycle. Risk assessments can also be conducted at various steps in the Risk Management Framework, including categorization, security control selection, security control implementation, security control assessment, information system authorization, and security control monitoring. RA-3 is noteworthy in that the control must be partially implemented prior to the implementation of other controls in order to complete the first two steps in the Risk Management Framework. Risk assessments can play an important role in security control selection processes, particularly during the application of tailoring guidance, which includes security control supplementation.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Risk assessment policy
security planning policy and procedures
procedures addressing organizational assessments of risk
security plan
risk assessment
risk assessment results
risk assessment reviews
risk assessment updates
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with risk assessment responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for risk assessment
automated mechanisms supporting and/or for conducting, documenting, reviewing, disseminating, and updating the risk assessment
RA-4 RISK ASSESSMENT UPDATE
Control
|
Withdrawn: Incorporated into RA-3. |
References: None
RA-5 VULNERABILITY SCANNING
Label: INSERT into ra-5_smt_a (RA-5a.)
Parameter: ra-5_prm_1 organization-defined frequency and/or randomly in accordance with organization-defined process
Label: INSERT into ra-5_smt_d (RA-5d.)
Parameter: ra-5_prm_2 organization-defined response times
Label: INSERT into ra-5_smt_e (RA-5e.)
Parameter: ra-5_prm_3 organization-defined personnel or roles
Control
|
The organization:
|
Supplemental guidance
Security categorization of information systems guides the frequency and comprehensiveness of vulnerability scans. Organizations determine the required vulnerability scanning for all information system components, ensuring that potential sources of vulnerabilities such as networked printers, scanners, and copiers are not overlooked. Vulnerability analyses for custom software applications may require additional approaches such as static analysis, dynamic analysis, binary analysis, or a hybrid of the three approaches. Organizations can employ these analysis approaches in a variety of tools (e.g., web-based application scanners, static analysis tools, binary analyzers) and in source code reviews. Vulnerability scanning includes, for example: (i) scanning for patch levels; (ii) scanning for functions, ports, protocols, and services that should not be accessible to users or devices; and (iii) scanning for improperly configured or incorrectly operating information flow control mechanisms. Organizations consider using tools that express vulnerabilities in the Common Vulnerabilities and Exposures (CVE) naming convention and that use the Open Vulnerability Assessment Language (OVAL) to determine/test for the presence of vulnerabilities. Suggested sources for vulnerability information include the Common Weakness Enumeration (CWE) listing and the National Vulnerability Database (NVD). In addition, security control assessments such as red team exercises provide other sources of potential vulnerabilities for which to scan. Organizations also consider using tools that express vulnerability impact by the Common Vulnerability Scoring System (CVSS).
cf CA-7: CONTINUOUS MONITORING
cf CM-4: SECURITY IMPACT ANALYSIS
cf CM-6: CONFIGURATION SETTINGS
cf RA-2: SECURITY CATEGORIZATION
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Risk assessment policy
procedures addressing vulnerability scanning
risk assessment
security plan
security assessment report
vulnerability scanning tools and associated configuration documentation
vulnerability scanning results
patch and vulnerability management records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with risk assessment, security control assessment and vulnerability scanning responsibilities
organizational personnel with vulnerability scan analysis responsibilities
organizational personnel with vulnerability remediation responsibilities
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Organizational processes for vulnerability scanning, analysis, remediation, and information sharing
automated mechanisms supporting and/or implementing vulnerability scanning, analysis, remediation, and information sharing
Control enhancements
RA-5 (1) UPDATE TOOL CAPABILITY
Control
|
The organization employs vulnerability scanning tools that include the capability to readily update the information system vulnerabilities to be scanned. |
Supplemental guidance
The vulnerabilities to be scanned need to be readily updated as new vulnerabilities are discovered, announced, and scanning methods developed. This updating process helps to ensure that potential vulnerabilities in the information system are identified and addressed as quickly as possible.
Objective
|
Determine if the organization employs vulnerability scanning tools that include the capability to readily update the information system vulnerabilities to be scanned. |
Assessment: EXAMINE
Procedures addressing vulnerability scanning
security plan
security assessment report
vulnerability scanning tools and associated configuration documentation
vulnerability scanning results
patch and vulnerability management records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with vulnerability scanning responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for vulnerability scanning
automated mechanisms/tools supporting and/or implementing vulnerability scanning
RA-5 (2) UPDATE BY FREQUENCY / PRIOR TO NEW SCAN / WHEN IDENTIFIED
Label: SELECT for { ancestor-or-self::*[@id][1]/@id }
ra-5_prm_5 INSERT into ra-5..2. [NO PARAMETER VALUE GIVEN]
prior to a new scan
when new vulnerabilities are identified and reported
Label: INSERT into ra-5..2.
Parameter: ra-5_prm_5 organization-defined frequency
Control
|
The organization updates the information system vulnerabilities scanned ra-5_prm_4 SELECT for { ancestor-or-self::*[@id][1]/@id } prior to a new scan when new vulnerabilities are identified and reported [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Procedures addressing vulnerability scanning
security plan
security assessment report
vulnerability scanning tools and associated configuration documentation
vulnerability scanning results
patch and vulnerability management records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with vulnerability scanning responsibilities
organizational personnel with vulnerability scan analysis responsibilities
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Organizational processes for vulnerability scanning
automated mechanisms/tools supporting and/or implementing vulnerability scanning
RA-5 (3) BREADTH / DEPTH OF COVERAGE
Control
|
The organization employs vulnerability scanning procedures that can identify the breadth and depth of coverage (i.e., information system components scanned and vulnerabilities checked). |
Objectives
|
Determine if the organization employs vulnerability scanning procedures that can identify:
|
Assessment: EXAMINE
Procedures addressing vulnerability scanning
security plan
security assessment report
vulnerability scanning tools and associated configuration documentation
vulnerability scanning results
patch and vulnerability management records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with vulnerability scanning responsibilities
organizational personnel with vulnerability scan analysis responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for vulnerability scanning
automated mechanisms/tools supporting and/or implementing vulnerability scanning
RA-5 (4) DISCOVERABLE INFORMATION
Label: INSERT into ra-5..4.
Parameter: ra-5_prm_6 organization-defined corrective actions
Control
|
The organization determines what information about the information system is discoverable by adversaries and subsequently takes ra-5_prm_6 INSERT into ra-5..4. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Discoverable information includes information that adversaries could obtain without directly compromising or breaching the information system, for example, by collecting information the system is exposing or by conducting extensive searches of the web. Corrective actions can include, for example, notifying appropriate organizational personnel, removing designated information, or changing the information system to make designated information less relevant or attractive to adversaries.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Procedures addressing vulnerability scanning
security assessment report
penetration test results
vulnerability scanning results
risk assessment report
records of corrective actions taken
incident response records
audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with vulnerability scanning and/or penetration testing responsibilities
organizational personnel with vulnerability scan analysis responsibilities
organizational personnel responsible for risk response
organizational personnel responsible for incident management and response
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for vulnerability scanning
organizational processes for risk response
organizational processes for incident management and response
automated mechanisms/tools supporting and/or implementing vulnerability scanning
automated mechanisms supporting and/or implementing risk response
automated mechanisms supporting and/or implementing incident management and response
RA-5 (5) PRIVILEGED ACCESS
Label: INSERT into ra-5..5.
Parameter: ra-5_prm_7 organization-identified information system components
Label: INSERT into ra-5..5.
Parameter: ra-5_prm_8 organization-defined vulnerability scanning activities
Control
|
The information system implements privileged access authorization to ra-5_prm_7 INSERT into ra-5..5. [NO PARAMETER VALUE GIVEN] for selected ra-5_prm_8 INSERT into ra-5..5. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
In certain situations, the nature of the vulnerability scanning may be more intrusive or the information system component that is the subject of the scanning may contain highly sensitive information. Privileged access authorization to selected system components facilitates more thorough vulnerability scanning and also protects the sensitive nature of such scanning.
Objectives
|
Determine if:
|
Assessment: EXAMINE
Risk assessment policy
procedures addressing vulnerability scanning
security plan
information system design documentation
information system configuration settings and associated documentation
list of information system components for vulnerability scanning
personnel access authorization list
authorization credentials
access authorization records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with vulnerability scanning responsibilities
system/network administrators
organizational personnel responsible for access control to the information system
organizational personnel responsible for configuration management of the information system
system developers
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for vulnerability scanning
organizational processes for access control
automated mechanisms supporting and/or implementing access control
automated mechanisms/tools supporting and/or implementing vulnerability scanning
RA-5 (6) AUTOMATED TREND ANALYSES
Control
|
The organization employs automated mechanisms to compare the results of vulnerability scans over time to determine trends in information system vulnerabilities. |
Supplemental guidance
Objective
|
Determine if the organization employs automated mechanisms to compare the results of vulnerability scans over time to determine trends in information system vulnerabilities. |
Assessment: EXAMINE
Risk assessment policy
procedures addressing vulnerability scanning
information system design documentation
vulnerability scanning tools and techniques documentation
vulnerability scanning results
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with vulnerability scanning responsibilities
organizational personnel with vulnerability scan analysis responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for vulnerability scanning
automated mechanisms/tools supporting and/or implementing vulnerability scanning
automated mechanisms supporting and/or implementing trend analysis of vulnerability scan results
RA-5 (7) AUTOMATED DETECTION AND NOTIFICATION OF UNAUTHORIZED COMPONENTS
cf CM-8: INFORMATION SYSTEM COMPONENT INVENTORY
Control
|
Withdrawn: Incorporated into CM-8. |
RA-5 (8) REVIEW HISTORIC AUDIT LOGS
Control
|
The organization reviews historic audit logs to determine if a vulnerability identified in the information system has been previously exploited. |
Supplemental guidance
Objective
|
Determine if the organization reviews historic audit logs to determine if a vulnerability identified in the information system has been previously exploited. |
Assessment: EXAMINE
Risk assessment policy
procedures addressing vulnerability scanning
audit logs
records of audit log reviews
vulnerability scanning results
patch and vulnerability management records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with vulnerability scanning responsibilities
organizational personnel with vulnerability scan analysis responsibilities
organizational personnel with audit record review responsibilities
system/network administrators
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for vulnerability scanning
organizational process for audit record review and response
automated mechanisms/tools supporting and/or implementing vulnerability scanning
automated mechanisms supporting and/or implementing audit record review
RA-5 (9) PENETRATION TESTING AND ANALYSES
Control
|
Withdrawn: Incorporated into CA-8. |
RA-5 (10) CORRELATE SCANNING INFORMATION
Control
|
The organization correlates the output from vulnerability scanning tools to determine the presence of multi-vulnerability/multi-hop attack vectors. |
Objective
|
Determine if the organization correlates the output from vulnerability scanning tools to determine the presence of multi-vulnerability/multi-hop attack vectors. |
Assessment: EXAMINE
Risk assessment policy
procedures addressing vulnerability scanning
risk assessment
security plan
vulnerability scanning tools and techniques documentation
vulnerability scanning results
vulnerability management records
audit records
event/vulnerability correlation logs
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with vulnerability scanning responsibilities
organizational personnel with vulnerability scan analysis responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for vulnerability scanning
automated mechanisms/tools supporting and/or implementing vulnerability scanning
automated mechanisms implementing correlation of vulnerability scan results
RA-6 TECHNICAL SURVEILLANCE COUNTERMEASURES SURVEY
Label: INSERT into ra-6
Parameter: ra-6_prm_1 organization-defined locations
Label: SELECT for { ancestor-or-self::*[@id][1]/@id }
ra-6_prm_3 INSERT into ra-6 [NO PARAMETER VALUE GIVEN]
ra-6_prm_4 INSERT into ra-6 [NO PARAMETER VALUE GIVEN]
Label: INSERT into ra-6
Parameter: ra-6_prm_3 organization-defined frequency
Label: INSERT into ra-6
Parameter: ra-6_prm_4 organization-defined events or indicators occur
Control
|
The organization employs a technical surveillance countermeasures survey at ra-6_prm_1 INSERT into ra-6 [NO PARAMETER VALUE GIVEN] ra-6_prm_2 SELECT for { ancestor-or-self::*[@id][1]/@id } [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Technical surveillance countermeasures surveys are performed by qualified personnel to detect the presence of technical surveillance devices/hazards and to identify technical security weaknesses that could aid in the conduct of technical penetrations of surveyed facilities. Such surveys provide evaluations of the technical security postures of organizations and facilities and typically include thorough visual, electronic, and physical examinations in and about surveyed facilities. The surveys also provide useful input into risk assessments and organizational exposure to potential adversaries.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Risk assessment policy
procedures addressing technical surveillance countermeasures surveys
security plan
audit records/event logs
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with technical surveillance countermeasures surveys responsibilities
system/network administrators
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for technical surveillance countermeasures surveys
automated mechanisms/tools supporting and/or implementing technical surveillance countermeasures surveys
References: None
SYSTEM AND SERVICES ACQUISITION
SA-1 SYSTEM AND SERVICES ACQUISITION POLICY AND PROCEDURES
Label: INSERT into sa-1_smt_a (SA-1a.)
Parameter: sa-1_prm_1 organization-defined personnel or roles
Label: INSERT into sa-1_smt_b.1 (SA-1b.1.)
Parameter: sa-1_prm_2 organization-defined frequency
Label: INSERT into sa-1_smt_b.2 (SA-1b.2.)
Parameter: sa-1_prm_3 organization-defined frequency
Control
|
The organization:
|
Supplemental guidance
This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the SA family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and services acquisition policy and procedures
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with system and services acquisition responsibilities
organizational personnel with information security responsibilities
SA-2 ALLOCATION OF RESOURCES
Control
|
The organization:
|
Supplemental guidance
Resource allocation for information security includes funding for the initial information system or information system service acquisition and funding for the sustainment of the system/service.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and services acquisition policy
procedures addressing the allocation of resources to information security requirements
procedures addressing capital planning and investment control
organizational programming and budgeting documentation
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with capital planning, investment control, organizational programming and budgeting responsibilities
organizational personnel responsible for determining information security requirements for information systems/services
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for determining information security requirements
organizational processes for capital planning, programming, and budgeting
automated mechanisms supporting and/or implementing organizational capital planning, programming, and budgeting
References
SA-3 SYSTEM DEVELOPMENT LIFE CYCLE
Label: INSERT into sa-3_smt_a (SA-3a.)
Parameter: sa-3_prm_1 organization-defined system development life cycle
Control
|
The organization:
|
Supplemental guidance
A well-defined system development life cycle provides the foundation for the successful development, implementation, and operation of organizational information systems. To apply the required security controls within the system development life cycle requires a basic understanding of information security, threats, vulnerabilities, adverse impacts, and risk to critical missions/business functions. The security engineering principles in SA-8 cannot be properly applied if individuals that design, code, and test information systems and system components (including information technology products) do not understand security. Therefore, organizations include qualified personnel, for example, chief information security officers, security architects, security engineers, and information system security officers in system development life cycle activities to ensure that security requirements are incorporated into organizational information systems. It is equally important that developers include individuals on the development team that possess the requisite security expertise and skills to ensure that needed security capabilities are effectively integrated into the information system. Security awareness and training programs can help ensure that individuals having key security roles and responsibilities have the appropriate experience, skills, and expertise to conduct assigned system development life cycle activities. The effective integration of security requirements into enterprise architecture also helps to ensure that important security considerations are addressed early in the system development life cycle and that those considerations are directly related to the organizational mission/business processes. This process also facilitates the integration of the information security architecture into the enterprise architecture, consistent with organizational risk management and information security strategies.
cf AT-3: ROLE-BASED SECURITY TRAINING
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and services acquisition policy
procedures addressing the integration of information security into the system development life cycle process
information system development life cycle documentation
information security risk management strategy/program documentation
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information security and system life cycle development responsibilities
organizational personnel with information security risk management responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for defining and documenting the SDLC
organizational processes for identifying SDLC roles and responsibilities
organizational process for integrating information security risk management into the SDLC
automated mechanisms supporting and/or implementing the SDLC
SA-4 ACQUISITION PROCESS
Control
|
The organization includes the following requirements, descriptions, and criteria, explicitly or by reference, in the acquisition contract for the information system, system component, or information system service in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, guidelines, and organizational mission/business needs:
|
Supplemental guidance
Information system components are discrete, identifiable information technology assets (e.g., hardware, software, or firmware) that represent the building blocks of an information system. Information system components include commercial information technology products. Security functional requirements include security capabilities, security functions, and security mechanisms. Security strength requirements associated with such capabilities, functions, and mechanisms include degree of correctness, completeness, resistance to direct attack, and resistance to tampering or bypass. Security assurance requirements include: (i) development processes, procedures, practices, and methodologies; and (ii) evidence from development and assessment activities providing grounds for confidence that the required security functionality has been implemented and the required security strength has been achieved. Security documentation requirements address all phases of the system development life cycle. Security functionality, assurance, and documentation requirements are expressed in terms of security controls and control enhancements that have been selected through the tailoring process. The security control tailoring process includes, for example, the specification of parameter values through the use of assignment and selection statements and the specification of platform dependencies and implementation information. Security documentation provides user and administrator guidance regarding the implementation and operation of security controls. The level of detail required in security documentation is based on the security category or classification level of the information system and the degree to which organizations depend on the stated security capability, functions, or mechanisms to meet overall risk response expectations (as defined in the organizational risk management strategy). Security requirements can also include organizationally mandated configuration settings specifying allowed functions, ports, protocols, and services. Acceptance criteria for information systems, information system components, and information system services are defined in the same manner as such criteria for any organizational acquisition or procurement. The Federal Acquisition Regulation (FAR) Section 7.103 contains information security requirements from FISMA.
cf CM-6: CONFIGURATION SETTINGS
cf PS-7: THIRD-PARTY PERSONNEL SECURITY
cf SA-3: SYSTEM DEVELOPMENT LIFE CYCLE
cf SA-5: INFORMATION SYSTEM DOCUMENTATION
cf SA-8: SECURITY ENGINEERING PRINCIPLES
Objectives
|
Determine if the organization includes the following requirements, descriptions, and criteria, explicitly or by reference, in the acquisition contracts for the information system, system component, or information system service in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, guidelines, and organizational mission/business needs:
|
Assessment: EXAMINE
System and services acquisition policy
procedures addressing the integration of information security requirements, descriptions, and criteria into the acquisition process
acquisition contracts for the information system, system component, or information system service
information system design documentation
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with acquisition/contracting responsibilities
organizational personnel with responsibility for determining information system security functional, strength, and assurance requirements
system/network administrators
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for determining information system security functional, strength, and assurance requirements
organizational processes for developing acquisition contracts
automated mechanisms supporting and/or implementing acquisitions and inclusion of security requirements in contracts
Control enhancements
SA-4 (1) FUNCTIONAL PROPERTIES OF SECURITY CONTROLS
Control
|
The organization requires the developer of the information system, system component, or information system service to provide a description of the functional properties of the security controls to be employed. |
Supplemental guidance
Functional properties of security controls describe the functionality (i.e., security capability, functions, or mechanisms) visible at the interfaces of the controls and specifically exclude functionality and data structures internal to the operation of the controls.
Objective
|
Determine if the organization requires the developer of the information system, system component, or information system service to provide a description of the functional properties of the security controls to be employed. |
Assessment: EXAMINE
System and services acquisition policy
procedures addressing the integration of information security requirements, descriptions, and criteria into the acquisition process
solicitation documents
acquisition documentation
acquisition contracts for the information system, system component, or information system services
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with acquisition/contracting responsibilities
organizational personnel with responsibility for determining information system security functional requirements
information system developer or service provider
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for determining information system security functional, requirements
organizational processes for developing acquisition contracts
automated mechanisms supporting and/or implementing acquisitions and inclusion of security requirements in contracts
SA-4 (2) DESIGN / IMPLEMENTATION INFORMATION FOR SECURITY CONTROLS
Label: SELECT for { ancestor-or-self::*[@id][1]/@id }
security-relevant external system interfaces
high-level design
low-level design
source code or hardware schematics
sa-4_prm_2 INSERT into sa-4..2. [NO PARAMETER VALUE GIVEN]
Label: INSERT into sa-4..2.
Parameter: sa-4_prm_2 organization-defined design/implementation information
Label: INSERT into sa-4..2.
Parameter: sa-4_prm_3 organization-defined level of detail
Control
|
The organization requires the developer of the information system, system component, or information system service to provide design and implementation information for the security controls to be employed that includes: sa-4_prm_1 SELECT for { ancestor-or-self::*[@id][1]/@id } security-relevant external system interfaces high-level design low-level design source code or hardware schematics [NO PARAMETER VALUE GIVEN] at sa-4_prm_3 INSERT into sa-4..2. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Organizations may require different levels of detail in design and implementation documentation for security controls employed in organizational information systems, system components, or information system services based on mission/business requirements, requirements for trustworthiness/resiliency, and requirements for analysis and testing. Information systems can be partitioned into multiple subsystems. Each subsystem within the system can contain one or more modules. The high-level design for the system is expressed in terms of multiple subsystems and the interfaces between subsystems providing security-relevant functionality. The low-level design for the system is expressed in terms of modules with particular emphasis on software and firmware (but not excluding hardware) and the interfaces between modules providing security-relevant functionality. Source code and hardware schematics are typically referred to as the implementation representation of the information system.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and services acquisition policy
procedures addressing the integration of information security requirements, descriptions, and criteria into the acquisition process
solicitation documents
acquisition documentation
acquisition contracts for the information system, system components, or information system services
design and implementation information for security controls employed in the information system, system component, or information system service
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with acquisition/contracting responsibilities
organizational personnel with responsibility for determining information system security requirements
information system developer or service provider
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for determining level of detail for system design and security controls
organizational processes for developing acquisition contracts
automated mechanisms supporting and/or implementing development of system design details
SA-4 (3) DEVELOPMENT METHODS / TECHNIQUES / PRACTICES
Label: INSERT into sa-4..3.
Parameter: sa-4_prm_4 organization-defined state-of-the-practice system/security engineering methods, software development methods, testing/evaluation/validation techniques, and quality control processes
Control
|
The organization requires the developer of the information system, system component, or information system service to demonstrate the use of a system development life cycle that includes sa-4_prm_4 INSERT into sa-4..3. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Following a well-defined system development life cycle that includes state-of-the-practice software development methods, systems/security engineering methods, quality control processes, and testing, evaluation, and validation techniques helps to reduce the number and severity of latent errors within information systems, system components, and information system services. Reducing the number/severity of such errors reduces the number of vulnerabilities in those systems, components, and services.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and services acquisition policy
procedures addressing the integration of information security requirements, descriptions, and criteria into the acquisition process
solicitation documents
acquisition documentation
acquisition contracts for the information system, system component, or information system service
list of system/security engineering methods to be included in developer’s system development life cycle process
list of software development methods to be included in developer’s system development life cycle process
list of testing/evaluation/validation techniques to be included in developer’s system development life cycle process
list of quality control processes to be included in developer’s system development life cycle process
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with acquisition/contracting responsibilities
organizational personnel with responsibility for determining information system security requirements
organizational personnel with information security and system life cycle responsibilities
information system developer or service provider
Assessment: TEST
Organizational processes for development methods, techniques, and processes
SA-4 (4) ASSIGNMENT OF COMPONENTS TO SYSTEMS
cf CM-8 (9): ASSIGNMENT OF COMPONENTS TO SYSTEMS
Control
|
Withdrawn: Incorporated into CM-8 (9). |
SA-4 (5) SYSTEM / COMPONENT / SERVICE CONFIGURATIONS
Label: INSERT into sa-4..5._smt_a (SA-4 (5)(a))
Parameter: sa-4_prm_5 organization-defined security configurations
Control
|
The organization requires the developer of the information system, system component, or information system service to:
|
Supplemental guidance
Security configurations include, for example, the U.S. Government Configuration Baseline (USGCB) and any limitations on functions, ports, protocols, and services. Security characteristics include, for example, requiring that all default passwords have been changed.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and services acquisition policy
procedures addressing the integration of information security requirements, descriptions, and criteria into the acquisition process
solicitation documents
acquisition documentation
acquisition contracts for the information system, system component, or information system service
security configurations to be implemented by developer of the information system, system component, or information system service
service-level agreements
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with acquisition/contracting responsibilities
organizational personnel with responsibility for determining information system security requirements
information system developer or service provider
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms used to verify that the configuration of the information system, component, or service, as delivered, is as specified
SA-4 (6) USE OF INFORMATION ASSURANCE PRODUCTS
Control
|
The organization:
|
Supplemental guidance
COTS IA or IA-enabled information technology products used to protect classified information by cryptographic means may be required to use NSA-approved key management.
cf SC-8: TRANSMISSION CONFIDENTIALITY AND INTEGRITY
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and services acquisition policy
procedures addressing the integration of information security requirements, descriptions, and criteria into the acquisition process
solicitation documents
acquisition documentation
acquisition contracts for the information system, system component, or information system service
security configurations to be implemented by developer of the information system, system component, or information system service
service-level agreements
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with acquisition/contracting responsibilities
organizational personnel with responsibility for determining information system security requirements
organizational personnel responsible for ensuring information assurance products are NSA-approved and are evaluated and/or validated products in accordance with NSA-approved procedures
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for selecting and employing evaluated and/or validated information assurance products and services that compose an NSA-approved solution to protect classified information
SA-4 (7) NIAP-APPROVED PROTECTION PROFILES
Control
|
The organization:
|
Supplemental guidance
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and services acquisition policy
procedures addressing the integration of information security requirements, descriptions, and criteria into the acquisition process
solicitation documents
acquisition documentation
acquisition contracts for the information system, system component, or information system service
NAIP-approved protection profiles
FIPS-validation information for cryptographic functionality
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with acquisition/contracting responsibilities
organizational personnel with responsibility for determining information system security requirements
organizational personnel responsible for ensuring information assurance products are have been evaluated against a NIAP-approved protection profile or for ensuring products relying on cryptographic functionality are FIPS-validated
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for selecting and employing products/services evaluated against a NIAP-approved protection profile or FIPS-validated products
SA-4 (8) CONTINUOUS MONITORING PLAN
Label: INSERT into sa-4..8.
Parameter: sa-4_prm_6 organization-defined level of detail
Control
|
The organization requires the developer of the information system, system component, or information system service to produce a plan for the continuous monitoring of security control effectiveness that contains sa-4_prm_6 INSERT into sa-4..8. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
The objective of continuous monitoring plans is to determine if the complete set of planned, required, and deployed security controls within the information system, system component, or information system service continue to be effective over time based on the inevitable changes that occur. Developer continuous monitoring plans include a sufficient level of detail such that the information can be incorporated into the continuous monitoring strategies and programs implemented by organizations.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and services acquisition policy
procedures addressing developer continuous monitoring plans
procedures addressing the integration of information security requirements, descriptions, and criteria into the acquisition process
developer continuous monitoring plans
security assessment plans
acquisition contracts for the information system, system component, or information system service
acquisition documentation
solicitation documentation
service-level agreements
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with acquisition/contracting responsibilities
organizational personnel with responsibility for determining information system security requirements
information system developers
organizational personnel with information security responsibilities
Assessment: TEST
Vendor processes for continuous monitoring
automated mechanisms supporting and/or implementing developer continuous monitoring
SA-4 (9) FUNCTIONS / PORTS / PROTOCOLS / SERVICES IN USE
Control
|
The organization requires the developer of the information system, system component, or information system service to identify early in the system development life cycle, the functions, ports, protocols, and services intended for organizational use. |
Supplemental guidance
The identification of functions, ports, protocols, and services early in the system development life cycle (e.g., during the initial requirements definition and design phases) allows organizations to influence the design of the information system, information system component, or information system service. This early involvement in the life cycle helps organizations to avoid or minimize the use of functions, ports, protocols, or services that pose unnecessarily high risks and understand the trade-offs involved in blocking specific ports, protocols, or services (or when requiring information system service providers to do so). Early identification of functions, ports, protocols, and services avoids costly retrofitting of security controls after the information system, system component, or information system service has been implemented. SA-9 describes requirements for external information system services with organizations identifying which functions, ports, protocols, and services are provided from external sources.
Objectives
|
Determine if the organization requires the developer of the information system, system component, or information system service to identify early in the system development life cycle:
|
Assessment: EXAMINE
System and services acquisition policy
procedures addressing the integration of information security requirements, descriptions, and criteria into the acquisition process
information system design documentation
information system documentation including functions, ports, protocols, and services intended for organizational use
acquisition contracts for information systems or services
acquisition documentation
solicitation documentation
service-level agreements
organizational security requirements, descriptions, and criteria for developers of information systems, system components, and information system services
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with acquisition/contracting responsibilities
organizational personnel with responsibility for determining information system security requirements
system/network administrators
organizational personnel operating, using, and/or maintaining the information system
information system developers
organizational personnel with information security responsibilities
SA-4 (10) USE OF APPROVED PIV PRODUCTS
Control
|
The organization employs only information technology products on the FIPS 201-approved products list for Personal Identity Verification (PIV) capability implemented within organizational information systems. |
Supplemental guidance
cf IA-2: IDENTIFICATION AND AUTHENTICATION (ORGANIZATIONAL USERS)
cf IA-8: IDENTIFICATION AND AUTHENTICATION (NON-ORGANIZATIONAL USERS)
Objective
|
Determine if the organization employs only information technology products on the FIPS 201-approved products list for Personal Identity Verification (PIV) capability implemented within organizational information systems. |
Assessment: EXAMINE
System and services acquisition policy
procedures addressing the integration of information security requirements, descriptions, and criteria into the acquisition process
solicitation documentation
acquisition documentation
acquisition contracts for the information system, system component, or information system service
service-level agreements
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with acquisition/contracting responsibilities
organizational personnel with responsibility for determining information system security requirements
organizational personnel with responsibility for ensuring only FIPS 201-approved products are implemented
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for selecting and employing FIPS 201-approved products
References
cf HSPD-12
cf NIST Special Publication 800-23
cf NIST Special Publication 800-35
cf NIST Special Publication 800-36
cf NIST Special Publication 800-37
cf NIST Special Publication 800-64
cf NIST Special Publication 800-70
cf NIST Special Publication 800-137
SA-5 INFORMATION SYSTEM DOCUMENTATION
Label: INSERT into sa-5_smt_c (SA-5c.)
Parameter: sa-5_prm_1 organization-defined actions
Label: INSERT into sa-5_smt_e (SA-5e.)
Parameter: sa-5_prm_2 organization-defined personnel or roles
Control
|
The organization:
|
Supplemental guidance
This control helps organizational personnel understand the implementation and operation of security controls associated with information systems, system components, and information system services. Organizations consider establishing specific measures to determine the quality/completeness of the content provided. The inability to obtain needed documentation may occur, for example, due to the age of the information system/component or lack of support from developers and contractors. In those situations, organizations may need to recreate selected documentation if such documentation is essential to the effective implementation or operation of security controls. The level of protection provided for selected information system, component, or service documentation is commensurate with the security category or classification of the system. For example, documentation associated with a key DoD weapons system or command and control system would typically require a higher level of protection than a routine administrative system. Documentation that addresses information system vulnerabilities may also require an increased level of protection. Secure operation of the information system, includes, for example, initially starting the system and resuming secure system operation after any lapse in system operation.
cf CM-6: CONFIGURATION SETTINGS
cf CM-8: INFORMATION SYSTEM COMPONENT INVENTORY
cf PS-2: POSITION RISK DESIGNATION
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and services acquisition policy
procedures addressing information system documentation
information system documentation including administrator and user guides
records documenting attempts to obtain unavailable or nonexistent information system documentation
list of actions to be taken in response to documented attempts to obtain information system, system component, or information system service documentation
risk management strategy documentation
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with acquisition/contracting responsibilities
organizational personnel with responsibility for determining information system security requirements
system administrators
organizational personnel operating, using, and/or maintaining the information system
information system developers
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for obtaining, protecting, and distributing information system administrator and user documentation
Control enhancements
SA-5 (1) FUNCTIONAL PROPERTIES OF SECURITY CONTROLS
cf SA-4 (1): FUNCTIONAL PROPERTIES OF SECURITY CONTROLS
Control
|
Withdrawn: Incorporated into SA-4 (1). |
SA-5 (2) SECURITY-RELEVANT EXTERNAL SYSTEM INTERFACES
cf SA-4 (2): DESIGN / IMPLEMENTATION INFORMATION FOR SECURITY CONTROLS
Control
|
Withdrawn: Incorporated into SA-4 (2). |
SA-5 (3) HIGH-LEVEL DESIGN
cf SA-4 (2): DESIGN / IMPLEMENTATION INFORMATION FOR SECURITY CONTROLS
Control
|
Withdrawn: Incorporated into SA-4 (2). |
SA-5 (4) LOW-LEVEL DESIGN
cf SA-4 (2): DESIGN / IMPLEMENTATION INFORMATION FOR SECURITY CONTROLS
Control
|
Withdrawn: Incorporated into SA-4 (2). |
SA-5 (5) SOURCE CODE
cf SA-4 (2): DESIGN / IMPLEMENTATION INFORMATION FOR SECURITY CONTROLS
Control
|
Withdrawn: Incorporated into SA-4 (2). |
References: None
SA-6 SOFTWARE USAGE RESTRICTIONS
cf CM-10: SOFTWARE USAGE RESTRICTIONS
cf SI-7: SOFTWARE, FIRMWARE, AND INFORMATION INTEGRITY
Control
|
Withdrawn: Incorporated into CM-10 and SI-7. |
References: None
SA-7 USER-INSTALLED SOFTWARE
cf CM-11: USER-INSTALLED SOFTWARE
cf SI-7: SOFTWARE, FIRMWARE, AND INFORMATION INTEGRITY
Control
|
Withdrawn: Incorporated into CM-11 and SI-7. |
References: None
SA-8 SECURITY ENGINEERING PRINCIPLES
Control
|
The organization applies information system security engineering principles in the specification, design, development, implementation, and modification of the information system. |
Supplemental guidance
Organizations apply security engineering principles primarily to new development information systems or systems undergoing major upgrades. For legacy systems, organizations apply security engineering principles to system upgrades and modifications to the extent feasible, given the current state of hardware, software, and firmware within those systems. Security engineering principles include, for example: (i) developing layered protections; (ii) establishing sound security policy, architecture, and controls as the foundation for design; (iii) incorporating security requirements into the system development life cycle; (iv) delineating physical and logical security boundaries; (v) ensuring that system developers are trained on how to build secure software; (vi) tailoring security controls to meet organizational and operational needs; (vii) performing threat modeling to identify use cases, threat agents, attack vectors, and attack patterns as well as compensating controls and design patterns needed to mitigate risk; and (viii) reducing risk to acceptable levels, thus enabling informed risk management decisions.
cf PM-7: ENTERPRISE ARCHITECTURE
cf SA-3: SYSTEM DEVELOPMENT LIFE CYCLE
cf SA-17: DEVELOPER SECURITY ARCHITECTURE AND DESIGN
Objectives
|
Determine if the organization applies information system security engineering principles in:
|
Assessment: EXAMINE
System and services acquisition policy
procedures addressing security engineering principles used in the specification, design, development, implementation, and modification of the information system
information system design documentation
information security requirements and specifications for the information system
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with acquisition/contracting responsibilities
organizational personnel with responsibility for determining information system security requirements
organizational personnel with information system specification, design, development, implementation, and modification responsibilities
information system developers
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for applying security engineering principles in information system specification, design, development, implementation, and modification
automated mechanisms supporting the application of security engineering principles in information system specification, design, development, implementation, and modification
References
SA-9 EXTERNAL INFORMATION SYSTEM SERVICES
Label: INSERT into sa-9_smt_a (SA-9a.)
Parameter: sa-9_prm_1 organization-defined security controls
Label: INSERT into sa-9_smt_c (SA-9c.)
Parameter: sa-9_prm_2 organization-defined processes, methods, and techniques
Control
|
The organization:
|
Supplemental guidance
External information system services are services that are implemented outside of the authorization boundaries of organizational information systems. This includes services that are used by, but not a part of, organizational information systems. FISMA and OMB policy require that organizations using external service providers that are processing, storing, or transmitting federal information or operating information systems on behalf of the federal government ensure that such providers meet the same security requirements that federal agencies are required to meet. Organizations establish relationships with external service providers in a variety of ways including, for example, through joint ventures, business partnerships, contracts, interagency agreements, lines of business arrangements, licensing agreements, and supply chain exchanges. The responsibility for managing risks from the use of external information system services remains with authorizing officials. For services external to organizations, a chain of trust requires that organizations establish and retain a level of confidence that each participating provider in the potentially complex consumer-provider relationship provides adequate protection for the services rendered. The extent and nature of this chain of trust varies based on the relationships between organizations and the external providers. Organizations document the basis for trust relationships so the relationships can be monitored over time. External information system services documentation includes government, service providers, end user security roles and responsibilities, and service-level agreements. Service-level agreements define expectations of performance for security controls, describe measurable outcomes, and identify remedies and response requirements for identified instances of noncompliance.
cf CA-3: SYSTEM INTERCONNECTIONS
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and services acquisition policy
procedures addressing external information system services
procedures addressing methods and techniques for monitoring security control compliance by external service providers of information system services
acquisition contracts, service-level agreements
organizational security requirements and security specifications for external provider services
security control assessment evidence from external providers of information system services
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with system and services acquisition responsibilities
external providers of information system services
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for monitoring security control compliance by external service providers on an ongoing basis
automated mechanisms for monitoring security control compliance by external service providers on an ongoing basis
Control enhancements
SA-9 (1) RISK ASSESSMENTS / ORGANIZATIONAL APPROVALS
Label: INSERT into sa-9..1._smt_b (SA-9 (1)(b))
Parameter: sa-9_prm_3 organization-defined personnel or roles
Control
|
The organization:
|
Supplemental guidance
Dedicated information security services include, for example, incident monitoring, analysis and response, operation of information security-related devices such as firewalls, or key management services.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and services acquisition policy
procedures addressing external information system services
acquisition documentation
acquisition contracts for the information system, system component, or information system service
risk assessment reports
approval records for acquisition or outsourcing of dedicated information security services
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with system and services acquisition responsibilities
organizational personnel with information system security responsibilities
external providers of information system services
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for conducting a risk assessment prior to acquiring or outsourcing dedicated information security services
organizational processes for approving the outsourcing of dedicated information security services
automated mechanisms supporting and/or implementing risk assessment
automated mechanisms supporting and/or implementing approval processes
SA-9 (2) IDENTIFICATION OF FUNCTIONS / PORTS / PROTOCOLS / SERVICES
Label: INSERT into sa-9..2.
Parameter: sa-9_prm_4 organization-defined external information system services
Control
|
The organization requires providers of sa-9_prm_4 INSERT into sa-9..2. [NO PARAMETER VALUE GIVEN] to identify the functions, ports, protocols, and other services required for the use of such services. |
Supplemental guidance
Information from external service providers regarding the specific functions, ports, protocols, and services used in the provision of such services can be particularly useful when the need arises to understand the trade-offs involved in restricting certain functions/services or blocking certain ports/protocols.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and services acquisition policy
procedures addressing external information system services
acquisition contracts for the information system, system component, or information system service
acquisition documentation
solicitation documentation, service-level agreements
organizational security requirements and security specifications for external service providers
list of required functions, ports, protocols, and other services
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with system and services acquisition responsibilities
organizational personnel with information security responsibilities
system/network administrators
external providers of information system services
SA-9 (3) ESTABLISH / MAINTAIN TRUST RELATIONSHIP WITH PROVIDERS
Label: INSERT into sa-9..3.
Parameter: sa-9_prm_5 organization-defined security requirements, properties, factors, or conditions defining acceptable trust relationships
Control
|
The organization establishes, documents, and maintains trust relationships with external service providers based on sa-9_prm_5 INSERT into sa-9..3. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
The degree of confidence that the risk from using external services is at an acceptable level depends on the trust that organizations place in the external providers, individually or in combination. Trust relationships can help organization to gain increased levels of confidence that participating service providers are providing adequate protection for the services rendered. Such relationships can be complicated due to the number of potential entities participating in the consumer-provider interactions, subordinate relationships and levels of trust, and the types of interactions between the parties. In some cases, the degree of trust is based on the amount of direct control organizations are able to exert on external service providers with regard to employment of security controls necessary for the protection of the service/information and the evidence brought forth as to the effectiveness of those controls. The level of control is typically established by the terms and conditions of the contracts or service-level agreements and can range from extensive control (e.g., negotiating contracts or agreements that specify security requirements for the providers) to very limited control (e.g., using contracts or service-level agreements to obtain commodity services such as commercial telecommunications services). In other cases, levels of trust are based on factors that convince organizations that required security controls have been employed and that determinations of control effectiveness exist. For example, separately authorized external information system services provided to organizations through well-established business relationships may provide degrees of trust in such services within the tolerable risk range of the organizations using the services. External service providers may also outsource selected services to other external entities, making the trust relationship more difficult and complicated to manage. Depending on the nature of the services, organizations may find it very difficult to place significant trust in external providers. This is not due to any inherent untrustworthiness on the part of providers, but to the intrinsic level of risk in the services.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and services acquisition policy
procedures addressing external information system services
acquisition contracts for the information system, system component, or information system service
acquisition documentation
solicitation documentation
service-level agreements
organizational security requirements, properties, factors, or conditions defining acceptable trust relationships
documentation of trust relationships with external service providers
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with system and services acquisition responsibilities
organizational personnel with information security responsibilities
external providers of information system services
SA-9 (4) CONSISTENT INTERESTS OF CONSUMERS AND PROVIDERS
Label: INSERT into sa-9..4.
Parameter: sa-9_prm_6 organization-defined security safeguards
Label: INSERT into sa-9..4.
Parameter: sa-9_prm_7 organization-defined external service providers
Control
|
The organization employs sa-9_prm_6 INSERT into sa-9..4. [NO PARAMETER VALUE GIVEN] to ensure that the interests of sa-9_prm_7 INSERT into sa-9..4. [NO PARAMETER VALUE GIVEN] are consistent with and reflect organizational interests. |
Supplemental guidance
As organizations increasingly use external service providers, the possibility exists that the interests of the service providers may diverge from organizational interests. In such situations, simply having the correct technical, procedural, or operational safeguards in place may not be sufficient if the service providers that implement and control those safeguards are not operating in a manner consistent with the interests of the consuming organizations. Possible actions that organizations might take to address such concerns include, for example, requiring background checks for selected service provider personnel, examining ownership records, employing only trustworthy service providers (i.e., providers with which organizations have had positive experiences), and conducting periodic/unscheduled visits to service provider facilities.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and services acquisition policy
procedures addressing external information system services
acquisition contracts for the information system, system component, or information system service
solicitation documentation
acquisition documentation
service-level agreements
organizational security requirements/safeguards for external service providers
personnel security policies for external service providers
assessments performed on external service providers
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with system and services acquisition responsibilities
organizational personnel with information security responsibilities
external providers of information system services
Assessment: TEST
Organizational processes for defining and employing safeguards to ensure consistent interests with external service providers
automated mechanisms supporting and/or implementing safeguards to ensure consistent interests with external service providers
SA-9 (5) PROCESSING, STORAGE, AND SERVICE LOCATION
Label: SELECT for { ancestor-or-self::*[@id][1]/@id }
information processing
information/data
information system services
Label: INSERT into sa-9..5.
Parameter: sa-9_prm_9 organization-defined locations
Label: INSERT into sa-9..5.
Parameter: sa-9_prm_10 organization-defined requirements or conditions
Control
|
The organization restricts the location of sa-9_prm_8 SELECT for { ancestor-or-self::*[@id][1]/@id } information processing information/data information system services [NO PARAMETER VALUE GIVEN] to sa-9_prm_9 INSERT into sa-9..5. [NO PARAMETER VALUE GIVEN] based on sa-9_prm_10 INSERT into sa-9..5. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
The location of information processing, information/data storage, or information system services that are critical to organizations can have a direct impact on the ability of those organizations to successfully execute their missions/business functions. This situation exists when external providers control the location of processing, storage or services. The criteria external providers use for the selection of processing, storage, or service locations may be different from organizational criteria. For example, organizations may want to ensure that data/information storage locations are restricted to certain locations to facilitate incident response activities (e.g., forensic analyses, after-the-fact investigations) in case of information security breaches/compromises. Such incident response activities may be adversely affected by the governing laws or protocols in the locations where processing and storage occur and/or the locations from which information system services emanate.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and services acquisition policy
procedures addressing external information system services
acquisition contracts for the information system, system component, or information system service
solicitation documentation
acquisition documentation
service-level agreements
restricted locations for information processing
information/data and/or information system services
information processing, information/data, and/or information system services to be maintained in restricted locations
organizational security requirements or conditions for external providers
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with system and services acquisition responsibilities
organizational personnel with information security responsibilities
external providers of information system services
Assessment: TEST
Organizational processes for defining requirements to restrict locations of information processing, information/data, or information services
organizational processes for ensuring the location is restricted in accordance with requirements or conditions
References
SA-10 DEVELOPER CONFIGURATION MANAGEMENT
Label: SELECT for { ancestor-or-self::*[@id][1]/@id }
Parameter: sa-10_prm_1 Insertion into SA-10a.
design
development
implementation
operation
Label: INSERT into sa-10_smt_b (SA-10b.)
Parameter: sa-10_prm_2 organization-defined configuration items under configuration management
Label: INSERT into sa-10_smt_e (SA-10e.)
Parameter: sa-10_prm_3 organization-defined personnel
Control
|
The organization requires the developer of the information system, system component, or information system service to:
|
Supplemental guidance
This control also applies to organizations conducting internal information systems development and integration. Organizations consider the quality and completeness of the configuration management activities conducted by developers as evidence of applying effective security safeguards. Safeguards include, for example, protecting from unauthorized modification or destruction, the master copies of all material used to generate security-relevant portions of the system hardware, software, and firmware. Maintaining the integrity of changes to the information system, information system component, or information system service requires configuration control throughout the system development life cycle to track authorized changes and prevent unauthorized changes. Configuration items that are placed under configuration management (if existence/use is required by other security controls) include: the formal model; the functional, high-level, and low-level design specifications; other design data; implementation documentation; source code and hardware schematics; the running version of the object code; tools for comparing new versions of security-relevant hardware descriptions and software/firmware source code with previous versions; and test fixtures and documentation. Depending on the mission/business needs of organizations and the nature of the contractual relationships in place, developers may provide configuration management support during the operations and maintenance phases of the life cycle.
cf CM-3: CONFIGURATION CHANGE CONTROL
cf CM-4: SECURITY IMPACT ANALYSIS
cf CM-9: CONFIGURATION MANAGEMENT PLAN
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and services acquisition policy
procedures addressing system developer configuration management
solicitation documentation
acquisition documentation
service-level agreements
acquisition contracts for the information system, system component, or information system service
system developer configuration management plan
security flaw and flaw resolution tracking records
system change authorization records
change control records
configuration management records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with system and services acquisition responsibilities
organizational personnel with information security responsibilities
organizational personnel with configuration management responsibilities
system developers
Assessment: TEST
Organizational processes for monitoring developer configuration management
automated mechanisms supporting and/or implementing the monitoring of developer configuration management
Control enhancements
SA-10 (1) SOFTWARE / FIRMWARE INTEGRITY VERIFICATION
Control
|
The organization requires the developer of the information system, system component, or information system service to enable integrity verification of software and firmware components. |
Supplemental guidance
This control enhancement allows organizations to detect unauthorized changes to software and firmware components through the use of tools, techniques, and/or mechanisms provided by developers. Integrity checking mechanisms can also address counterfeiting of software and firmware components. Organizations verify the integrity of software and firmware components, for example, through secure one-way hashes provided by developers. Delivered software and firmware components also include any updates to such components.
Objective
|
Determine if the organization requires the developer of the information system, system component, or information system service to enable integrity verification of software and firmware components. |
Assessment: EXAMINE
System and services acquisition policy
procedures addressing system developer configuration management
solicitation documentation
acquisition documentation
service-level agreements
acquisition contracts for the information system
system component, or information system service
system developer configuration management plan
software and firmware integrity verification records
system change authorization records
change control records
configuration management records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with system and services acquisition responsibilities
organizational personnel with information security responsibilities
organizational personnel with configuration management responsibilities
system developers
Assessment: TEST
Organizational processes for monitoring developer configuration management
automated mechanisms supporting and/or implementing the monitoring of developer configuration management
SA-10 (2) ALTERNATIVE CONFIGURATION MANAGEMENT PROCESSES
Control
|
The organization provides an alternate configuration management process using organizational personnel in the absence of a dedicated developer configuration management team. |
Supplemental guidance
Alternate configuration management processes may be required, for example, when organizations use commercial off-the-shelf (COTS) information technology products. Alternate configuration management processes include organizational personnel that: (i) are responsible for reviewing/approving proposed changes to information systems, system components, and information system services; and (ii) conduct security impact analyses prior to the implementation of any changes to systems, components, or services (e.g., a configuration control board that considers security impacts of changes during development and includes representatives of both the organization and the developer, when applicable).
Objective
|
Determine if the organization provides an alternative configuration management process with organizational personnel in the absence of a dedicated developer configuration management team. |
Assessment: EXAMINE
System and services acquisition policy
procedures addressing system developer configuration management
procedures addressing configuration management
solicitation documentation
acquisition documentation
service-level agreements
acquisition contracts for the information system
system component, or information system service
system developer configuration management plan
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with system and services acquisition responsibilities
organizational personnel with information security responsibilities
organizational personnel with configuration management responsibilities
system developers
Assessment: TEST
Organizational processes for monitoring developer configuration management
automated mechanisms supporting and/or implementing the monitoring of developer configuration management
SA-10 (3) HARDWARE INTEGRITY VERIFICATION
Control
|
The organization requires the developer of the information system, system component, or information system service to enable integrity verification of hardware components. |
Supplemental guidance
This control enhancement allows organizations to detect unauthorized changes to hardware components through the use of tools, techniques, and/or mechanisms provided by developers. Organizations verify the integrity of hardware components, for example, with hard-to-copy labels and verifiable serial numbers provided by developers, and by requiring the implementation of anti-tamper technologies. Delivered hardware components also include updates to such components.
Objective
|
Determine if the organization requires the developer of the information system, system component, or information system service to enable integrity verification of hardware components. |
Assessment: EXAMINE
System and services acquisition policy
procedures addressing system developer configuration management
solicitation documentation
acquisition documentation
service-level agreements
acquisition contracts for the information system, system component, or information system service
system developer configuration management plan
hardware integrity verification records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with system and services acquisition responsibilities
organizational personnel with information security responsibilities
organizational personnel with configuration management responsibilities
system developers
Assessment: TEST
Organizational processes for monitoring developer configuration management
automated mechanisms supporting and/or implementing the monitoring of developer configuration management
SA-10 (4) TRUSTED GENERATION
Control
|
The organization requires the developer of the information system, system component, or information system service to employ tools for comparing newly generated versions of security-relevant hardware descriptions and software/firmware source and object code with previous versions. |
Supplemental guidance
This control enhancement addresses changes to hardware, software, and firmware components between versions during development. In contrast, SA-10 (1) and SA-10 (3) allow organizations to detect unauthorized changes to hardware, software, and firmware components through the use of tools, techniques, and/or mechanisms provided by developers.
Objectives
|
Determine if the organization requires the developer of the information system, system component, or information system service to employ tools for comparing newly generated versions of:
|
Assessment: EXAMINE
System and services acquisition policy
procedures addressing system developer configuration management
solicitation documentation
acquisition documentation
service-level agreements
acquisition contracts for the information system, system component, or information system service
system developer configuration management plan
change control records
configuration management records
configuration control audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with system and services acquisition responsibilities
organizational personnel with information security responsibilities
organizational personnel with configuration management responsibilities
system developers
Assessment: TEST
Organizational processes for monitoring developer configuration management
automated mechanisms supporting and/or implementing the monitoring of developer configuration management
SA-10 (5) MAPPING INTEGRITY FOR VERSION CONTROL
Control
|
The organization requires the developer of the information system, system component, or information system service to maintain the integrity of the mapping between the master build data (hardware drawings and software/firmware code) describing the current version of security-relevant hardware, software, and firmware and the on-site master copy of the data for the current version. |
Supplemental guidance
This control enhancement addresses changes to hardware, software, and firmware components during initial development and during system life cycle updates. Maintaining the integrity between the master copies of security-relevant hardware, software, and firmware (including designs and source code) and the equivalent data in master copies on-site in operational environments is essential to ensure the availability of organizational information systems supporting critical missions and/or business functions.
Objective
|
Determine if the organization requires the developer of the information system, system component, or information system service to maintain the integrity of the mapping between the master build data (hardware drawings and software/firmware code) describing the current version of security-relevant hardware, software, and firmware and the on-site master copy of the data for the current version. |
Assessment: EXAMINE
System and services acquisition policy
procedures addressing system developer configuration management
solicitation documentation
acquisition documentation
service-level agreements
acquisition contracts for the information system, system component, or information system service
system developer configuration management plan
change control records
configuration management records
version control change/update records
integrity verification records between master copies of security-relevant hardware, software, and firmware (including designs and source code)
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with system and services acquisition responsibilities
organizational personnel with information security responsibilities
organizational personnel with configuration management responsibilities
system developers
Assessment: TEST
Organizational processes for monitoring developer configuration management
automated mechanisms supporting and/or implementing the monitoring of developer configuration management
SA-10 (6) TRUSTED DISTRIBUTION
Control
|
The organization requires the developer of the information system, system component, or information system service to execute procedures for ensuring that security-relevant hardware, software, and firmware updates distributed to the organization are exactly as specified by the master copies. |
Supplemental guidance
The trusted distribution of security-relevant hardware, software, and firmware updates helps to ensure that such updates are faithful representations of the master copies maintained by the developer and have not been tampered with during distribution.
Objective
|
Determine if the organization requires the developer of the information system, system component, or information system service to execute procedures for ensuring that security-relevant hardware, software, and firmware updates distributed to the organization are exactly as specified by the master copies. |
Assessment: EXAMINE
System and services acquisition policy
procedures addressing system developer configuration management
solicitation documentation
acquisition documentation
service-level agreements
acquisition contracts for the information system
system component, or information system service
system developer configuration management plan
change control records
configuration management records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with system and services acquisition responsibilities
organizational personnel with information security responsibilities
organizational personnel with configuration management responsibilities
system developers
Assessment: TEST
Organizational processes for monitoring developer configuration management
automated mechanisms supporting and/or implementing the monitoring of developer configuration management
References
SA-11 DEVELOPER SECURITY TESTING AND EVALUATION
Label: SELECT for { ancestor-or-self::*[@id][1]/@id }
Parameter: sa-11_prm_1 Insertion into SA-11b.
unit
integration
system
regression
Label: INSERT into sa-11_smt_b (SA-11b.)
Parameter: sa-11_prm_2 organization-defined depth and coverage
Control
|
The organization requires the developer of the information system, system component, or information system service to:
|
Supplemental guidance
Developmental security testing/evaluation occurs at all post-design phases of the system development life cycle. Such testing/evaluation confirms that the required security controls are implemented correctly, operating as intended, enforcing the desired security policy, and meeting established security requirements. Security properties of information systems may be affected by the interconnection of system components or changes to those components. These interconnections or changes (e.g., upgrading or replacing applications and operating systems) may adversely affect previously implemented security controls. This control provides additional types of security testing/evaluation that developers can conduct to reduce or eliminate potential flaws. Testing custom software applications may require approaches such as static analysis, dynamic analysis, binary analysis, or a hybrid of the three approaches. Developers can employ these analysis approaches in a variety of tools (e.g., web-based application scanners, static analysis tools, binary analyzers) and in source code reviews. Security assessment plans provide the specific activities that developers plan to carry out including the types of analyses, testing, evaluation, and reviews of software and firmware components, the degree of rigor to be applied, and the types of artifacts produced during those processes. The depth of security testing/evaluation refers to the rigor and level of detail associated with the assessment process (e.g., black box, gray box, or white box testing). The coverage of security testing/evaluation refers to the scope (i.e., number and type) of the artifacts included in the assessment process. Contracts specify the acceptance criteria for security assessment plans, flaw remediation processes, and the evidence that the plans/processes have been diligently applied. Methods for reviewing and protecting assessment plans, evidence, and documentation are commensurate with the security category or classification level of the information system. Contracts may specify documentation protection requirements.
cf CM-4: SECURITY IMPACT ANALYSIS
cf SA-3: SYSTEM DEVELOPMENT LIFE CYCLE
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and services acquisition policy
procedures addressing system developer security testing
procedures addressing flaw remediation
solicitation documentation
acquisition documentation
service-level agreements
acquisition contracts for the information system, system component, or information system service
system developer security test plans
records of developer security testing results for the information system, system component, or information system service
security flaw and remediation tracking records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with system and services acquisition responsibilities
organizational personnel with information security responsibilities
organizational personnel with developer security testing responsibilities
system developers
Assessment: TEST
Organizational processes for monitoring developer security testing and evaluation
automated mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation
Control enhancements
SA-11 (1) STATIC CODE ANALYSIS
Control
|
The organization requires the developer of the information system, system component, or information system service to employ static code analysis tools to identify common flaws and document the results of the analysis. |
Supplemental guidance
Static code analysis provides a technology and methodology for security reviews. Such analysis can be used to identify security vulnerabilities and enforce security coding practices. Static code analysis is most effective when used early in the development process, when each code change can be automatically scanned for potential weaknesses. Static analysis can provide clear remediation guidance along with defects to enable developers to fix such defects. Evidence of correct implementation of static analysis can include, for example, aggregate defect density for critical defect types, evidence that defects were inspected by developers or security professionals, and evidence that defects were fixed. An excessively high density of ignored findings (commonly referred to as ignored or false positives) indicates a potential problem with the analysis process or tool. In such cases, organizations weigh the validity of the evidence against evidence from other sources.
Objective
|
Determine if the organization requires the developer of the information system, system component, or information system service to employ static code analysis tools to identify common flaws and document the results of the analysis. |
Assessment: EXAMINE
System and services acquisition policy
procedures addressing system developer security testing
procedures addressing flaw remediation
solicitation documentation
acquisition documentation
service-level agreements
acquisition contracts for the information system, system component, or information system service
system developer security test plans
system developer security testing results
security flaw and remediation tracking records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with system and services acquisition responsibilities
organizational personnel with information security responsibilities
organizational personnel with developer security testing responsibilities
organizational personnel with configuration management responsibilities
system developers
Assessment: TEST
Organizational processes for monitoring developer security testing and evaluation
automated mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation
static code analysis tools
SA-11 (2) THREAT AND VULNERABILITY ANALYSES
Control
|
The organization requires the developer of the information system, system component, or information system service to perform threat and vulnerability analyses and subsequent testing/evaluation of the as-built system, component, or service. |
Supplemental guidance
Applications may deviate significantly from the functional and design specifications created during the requirements and design phases of the system development life cycle. Therefore, threat and vulnerability analyses of information systems, system components, and information system services prior to delivery are critical to the effective operation of those systems, components, and services. Threat and vulnerability analyses at this phase of the life cycle help to ensure that design or implementation changes have been accounted for, and that any new vulnerabilities created as a result of those changes have been reviewed and mitigated.
Objectives
|
Determine if the organization requires the developer of the information system, system component, or information system service to perform:
|
Assessment: EXAMINE
System and services acquisition policy
procedures addressing system developer security testing
solicitation documentation
acquisition documentation
service-level agreements
acquisition contracts for the information system, system component, or information system service
system developer security test plans
records of developer security testing results for the information system, system component, or information system service
vulnerability scanning results
information system risk assessment reports
threat and vulnerability analysis reports
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with system and services acquisition responsibilities
organizational personnel with information security responsibilities
organizational personnel with developer security testing responsibilities
system developers
Assessment: TEST
Organizational processes for monitoring developer security testing and evaluation
automated mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation
SA-11 (3) INDEPENDENT VERIFICATION OF ASSESSMENT PLANS / EVIDENCE
Label: INSERT into sa-11..3._smt_a (SA-11 (3)(a))
Parameter: sa-11_prm_3 organization-defined independence criteria
Control
|
The organization:
|
Supplemental guidance
Independent agents have the necessary qualifications (i.e., expertise, skills, training, and experience) to verify the correct implementation of developer security assessment plans.
cf AT-3: ROLE-BASED SECURITY TRAINING
cf CA-7: CONTINUOUS MONITORING
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and services acquisition policy
procedures addressing system developer security testing
solicitation documentation
acquisition documentation
service-level agreements
acquisition contracts for the information system, system component, or information system service
independent verification and validation reports
security test and evaluation plans
security test and evaluation results for the information system, system component, or information system service
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with system and services acquisition responsibilities
organizational personnel with information security responsibilities
organizational personnel with developer security testing responsibilities
system developers
independent verification agent
Assessment: TEST
Organizational processes for monitoring developer security testing and evaluation
automated mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation
SA-11 (4) MANUAL CODE REVIEWS
Label: INSERT into sa-11..4.
Parameter: sa-11_prm_4 organization-defined specific code
Label: INSERT into sa-11..4.
Parameter: sa-11_prm_5 organization-defined processes, procedures, and/or techniques
Control
|
The organization requires the developer of the information system, system component, or information system service to perform a manual code review of sa-11_prm_4 INSERT into sa-11..4. [NO PARAMETER VALUE GIVEN] using sa-11_prm_5 INSERT into sa-11..4. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Manual code reviews are usually reserved for the critical software and firmware components of information systems. Such code reviews are uniquely effective at identifying weaknesses that require knowledge of the application’s requirements or context which are generally unavailable to more automated analytic tools and techniques such as static or dynamic analysis. Components benefiting from manual review include for example, verifying access control matrices against application controls and reviewing more detailed aspects of cryptographic implementations and controls.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and services acquisition policy
procedures addressing system developer security testing
processes, procedures, and/or techniques for performing manual code reviews
solicitation documentation
acquisition documentation
service-level agreements
acquisition contracts for the information system, system component, or information system service
system developer security testing and evaluation plans
system developer security testing and evaluation results
list of code requiring manual reviews
records of manual code reviews
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with system and services acquisition responsibilities
organizational personnel with information security responsibilities
organizational personnel with developer security testing responsibilities
system developers
independent verification agent
Assessment: TEST
Organizational processes for monitoring developer security testing and evaluation
automated mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation
SA-11 (5) PENETRATION TESTING
Label: INSERT into sa-11..5.
Parameter: sa-11_prm_6 organization-defined breadth/depth
Label: INSERT into sa-11..5.
Parameter: sa-11_prm_7 organization-defined constraints
Control
|
The organization requires the developer of the information system, system component, or information system service to perform penetration testing at sa-11_prm_6 INSERT into sa-11..5. [NO PARAMETER VALUE GIVEN] and with sa-11_prm_7 INSERT into sa-11..5. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Penetration testing is an assessment methodology in which assessors, using all available information technology product and/or information system documentation (e.g., product/system design specifications, source code, and administrator/operator manuals) and working under specific constraints, attempt to circumvent implemented security features of information technology products and information systems. Penetration testing can include, for example, white, gray, or black box testing with analyses performed by skilled security professionals simulating adversary actions. The objective of penetration testing is to uncover potential vulnerabilities in information technology products and information systems resulting from implementation errors, configuration faults, or other operational deployment weaknesses or deficiencies. Penetration tests can be performed in conjunction with automated and manual code reviews to provide greater levels of analysis than would ordinarily be possible.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and services acquisition policy
procedures addressing system developer security testing
solicitation documentation
acquisition documentation
service-level agreements
acquisition contracts for the information system, system component, or information system service
system developer penetration testing and evaluation plans
system developer penetration testing and evaluation results
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with system and services acquisition responsibilities
organizational personnel with information security responsibilities
organizational personnel with developer security testing responsibilities
system developers
independent verification agent
Assessment: TEST
Organizational processes for monitoring developer security testing and evaluation
automated mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation
SA-11 (6) ATTACK SURFACE REVIEWS
Control
|
The organization requires the developer of the information system, system component, or information system service to perform attack surface reviews. |
Supplemental guidance
Attack surfaces of information systems are exposed areas that make those systems more vulnerable to cyber attacks. This includes any accessible areas where weaknesses or deficiencies in information systems (including the hardware, software, and firmware components) provide opportunities for adversaries to exploit vulnerabilities. Attack surface reviews ensure that developers: (i) analyze both design and implementation changes to information systems; and (ii) mitigate attack vectors generated as a result of the changes. Correction of identified flaws includes, for example, deprecation of unsafe functions.
Objective
|
Determine if the organization requires the developer of the information system, system component, or information system service to perform attack surface reviews. |
Assessment: EXAMINE
System and services acquisition policy
procedures addressing system developer security testing
solicitation documentation
acquisition documentation
service-level agreements
acquisition contracts for the information system, system component, or information system service
system developer security testing and evaluation plans
system developer security testing and evaluation results
records of attack surface reviews
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with system and services acquisition responsibilities
organizational personnel with information security responsibilities
organizational personnel with developer security testing responsibilities
organizational personnel with configuration management responsibilities
system developers
Assessment: TEST
Organizational processes for monitoring developer security testing and evaluation
automated mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation
SA-11 (7) VERIFY SCOPE OF TESTING / EVALUATION
Label: INSERT into sa-11..7.
Parameter: sa-11_prm_8 organization-defined depth of testing/evaluation
Control
|
The organization requires the developer of the information system, system component, or information system service to verify that the scope of security testing/evaluation provides complete coverage of required security controls at sa-11_prm_8 INSERT into sa-11..7. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Verifying that security testing/evaluation provides complete coverage of required security controls can be accomplished by a variety of analytic techniques ranging from informal to formal. Each of these techniques provides an increasing level of assurance corresponding to the degree of formality of the analysis. Rigorously demonstrating security control coverage at the highest levels of assurance can be provided by the use of formal modeling and analysis techniques including correlation between control implementation and corresponding test cases.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and services acquisition policy
procedures addressing system developer security testing
solicitation documentation
acquisition documentation
service-level agreements
acquisition contracts for the information system, system component, or information system service
system developer security testing and evaluation plans
system developer security testing and evaluation results
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with system and services acquisition responsibilities
organizational personnel with information security responsibilities
organizational personnel with developer security testing responsibilities
system developers
independent verification agent
Assessment: TEST
Organizational processes for monitoring developer security testing and evaluation
automated mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation
SA-11 (8) DYNAMIC CODE ANALYSIS
Control
|
The organization requires the developer of the information system, system component, or information system service to employ dynamic code analysis tools to identify common flaws and document the results of the analysis. |
Supplemental guidance
Dynamic code analysis provides run-time verification of software programs, using tools capable of monitoring programs for memory corruption, user privilege issues, and other potential security problems. Dynamic code analysis employs run-time tools to help to ensure that security functionality performs in the manner in which it was designed. A specialized type of dynamic analysis, known as fuzz testing, induces program failures by deliberately introducing malformed or random data into software programs. Fuzz testing strategies derive from the intended use of applications and the functional and design specifications for the applications. To understand the scope of dynamic code analysis and hence the assurance provided, organizations may also consider conducting code coverage analysis (checking the degree to which the code has been tested using metrics such as percent of subroutines tested or percent of program statements called during execution of the test suite) and/or concordance analysis (checking for words that are out of place in software code such as non-English language words or derogatory terms).
Objective
|
Determine if the organization requires the developer of the information system, system component, or information system service to employ dynamic code analysis tools to identify common flaws and document the results of the analysis. |
Assessment: EXAMINE
System and services acquisition policy
procedures addressing system developer security testing
procedures addressing flaw remediation
solicitation documentation
acquisition documentation
service-level agreements
acquisition contracts for the information system, system component, or information system service
system developer security test and evaluation plans
security test and evaluation results
security flaw and remediation tracking reports
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with system and services acquisition responsibilities
organizational personnel with information security responsibilities
organizational personnel with developer security testing responsibilities
organizational personnel with configuration management responsibilities
system developers
Assessment: TEST
Organizational processes for monitoring developer security testing and evaluation
automated mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation
References
SA-12 SUPPLY CHAIN PROTECTION
Label: INSERT into sa-12
Parameter: sa-12_prm_1 organization-defined security safeguards
Control
|
The organization protects against supply chain threats to the information system, system component, or information system service by employing sa-12_prm_1 INSERT into sa-12 [NO PARAMETER VALUE GIVEN] as part of a comprehensive, defense-in-breadth information security strategy. |
Supplemental guidance
Information systems (including system components that compose those systems) need to be protected throughout the system development life cycle (i.e., during design, development, manufacturing, packaging, assembly, distribution, system integration, operations, maintenance, and retirement). Protection of organizational information systems is accomplished through threat awareness, by the identification, management, and reduction of vulnerabilities at each phase of the life cycle and the use of complementary, mutually reinforcing strategies to respond to risk. Organizations consider implementing a standardized process to address supply chain risk with respect to information systems and system components, and to educate the acquisition workforce on threats, risk, and required security controls. Organizations use the acquisition/procurement processes to require supply chain entities to implement necessary security safeguards to: (i) reduce the likelihood of unauthorized modifications at each stage in the supply chain; and (ii) protect information systems and information system components, prior to taking delivery of such systems/components. This control also applies to information system services. Security safeguards include, for example: (i) security controls for development systems, development facilities, and external connections to development systems; (ii) vetting development personnel; and (iii) use of tamper-evident packaging during shipping/warehousing. Methods for reviewing and protecting development plans, evidence, and documentation are commensurate with the security category or classification level of the information system. Contracts may specify documentation protection requirements.
cf AT-3: ROLE-BASED SECURITY TRAINING
cf CM-8: INFORMATION SYSTEM COMPONENT INVENTORY
cf PE-16: DELIVERY AND REMOVAL
cf PL-8: INFORMATION SECURITY ARCHITECTURE
cf SA-3: SYSTEM DEVELOPMENT LIFE CYCLE
cf SA-8: SECURITY ENGINEERING PRINCIPLES
cf SA-10: DEVELOPER CONFIGURATION MANAGEMENT
cf SA-14: CRITICALITY ANALYSIS
cf SA-15: DEVELOPMENT PROCESS, STANDARDS, AND TOOLS
cf SA-18: TAMPER RESISTANCE AND DETECTION
cf SA-19: COMPONENT AUTHENTICITY
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and services acquisition policy
procedures addressing supply chain protection
procedures addressing the integration of information security requirements into the acquisition process
solicitation documentation
acquisition documentation
service-level agreements
acquisition contracts for the information system, system component, or information system service
list of supply chain threats
list of security safeguards to be taken against supply chain threats
system development life cycle documentation
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with system and services acquisition responsibilities
organizational personnel with information security responsibilities
organizational personnel with supply chain protection responsibilities
Assessment: TEST
Organizational processes for defining safeguards for and protecting against supply chain threats
automated mechanisms supporting and/or implementing safeguards for supply chain threats
Control enhancements
SA-12 (1) ACQUISITION STRATEGIES / TOOLS / METHODS
Label: INSERT into sa-12..1.
Parameter: sa-12_prm_2 organization-defined tailored acquisition strategies, contract tools, and procurement methods
Control
|
The organization employs sa-12_prm_2 INSERT into sa-12..1. [NO PARAMETER VALUE GIVEN] for the purchase of the information system, system component, or information system service from suppliers. |
Supplemental guidance
The use of acquisition and procurement processes by organizations early in the system development life cycle provides an important vehicle to protect the supply chain. Organizations use available all-source intelligence analysis to inform the tailoring of acquisition strategies, tools, and methods. There are a number of different tools and techniques available (e.g., obscuring the end use of an information system or system component, using blind or filtered buys). Organizations also consider creating incentives for suppliers who: (i) implement required security safeguards; (ii) promote transparency into their organizational processes and security practices; (iii) provide additional vetting of the processes and security practices of subordinate suppliers, critical information system components, and services; (iv) restrict purchases from specific suppliers or countries; and (v) provide contract language regarding the prohibition of tainted or counterfeit components. In addition, organizations consider minimizing the time between purchase decisions and required delivery to limit opportunities for adversaries to corrupt information system components or products. Finally, organizations can use trusted/controlled distribution, delivery, and warehousing options to reduce supply chain risk (e.g., requiring tamper-evident packaging of information system components during shipping and warehousing).
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and services acquisition policy
procedures addressing supply chain protection
procedures addressing the integration of information security requirements into the acquisition process
procedures addressing the integration of acquisition strategies, contract tools, and procure methods into the acquisition process
solicitation documentation
acquisition documentation
service-level agreements
acquisition contracts for information systems or services
purchase orders/requisitions for the information system
system component
or information system service from suppliers
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with system and services acquisition responsibilities
organizational personnel with information security responsibilities
organizational personnel with supply chain protection responsibilities
Assessment: TEST
Organizational processes for defining and employing tailored acquisition strategies, contract tools, and procurement methods
automated mechanisms supporting and/or implementing the definition and employment of tailored acquisition strategies, contract tools, and procurement methods
SA-12 (2) SUPPLIER REVIEWS
Control
|
The organization conducts a supplier review prior to entering into a contractual agreement to acquire the information system, system component, or information system service. |
Supplemental guidance
Supplier reviews include, for example: (i) analysis of supplier processes used to design, develop, test, implement, verify, deliver, and support information systems, system components, and information system services; and (ii) assessment of supplier training and experience in developing systems, components, or services with the required security capability. These reviews provide organizations with increased levels of visibility into supplier activities during the system development life cycle to promote more effective supply chain risk management. Supplier reviews can also help to determine whether primary suppliers have security safeguards in place and a practice for vetting subordinate suppliers, for example, second- and third-tier suppliers, and any subcontractors.
Objective
|
Determine if the organization conducts a supplier review prior to entering into a contractual agreement to acquire the information system, system component, or information system service. |
Assessment: EXAMINE
System and services acquisition policy
procedures addressing supply chain protection
procedures addressing the integration of information security requirements into the acquisition process
records of supplier due diligence reviews
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with system and services acquisition responsibilities
organizational personnel with information security responsibilities
organizational personnel with supply chain protection responsibilities
Assessment: TEST
Organizational processes for conducting supplier reviews
automated mechanisms supporting and/or implementing supplier reviews
SA-12 (3) TRUSTED SHIPPING AND WAREHOUSING
cf SA-12 (1): ACQUISITION STRATEGIES / TOOLS / METHODS
Control
|
Withdrawn: Incorporated into SA-12 (1). |
SA-12 (4) DIVERSITY OF SUPPLIERS
cf SA-12 (13): CRITICAL INFORMATION SYSTEM COMPONENTS
Control
|
Withdrawn: Incorporated into SA-12 (13). |
SA-12 (5) LIMITATION OF HARM
Label: INSERT into sa-12..5.
Parameter: sa-12_prm_3 organization-defined security safeguards
Control
|
The organization employs sa-12_prm_3 INSERT into sa-12..5. [NO PARAMETER VALUE GIVEN] to limit harm from potential adversaries identifying and targeting the organizational supply chain. |
Supplemental guidance
Supply chain risk is part of the advanced persistent threat (APT). Security safeguards and countermeasures to reduce the probability of adversaries successfully identifying and targeting the supply chain include, for example: (i) avoiding the purchase of custom configurations to reduce the risk of acquiring information systems, components, or products that have been corrupted via supply chain actions targeted at specific organizations; (ii) employing a diverse set of suppliers to limit the potential harm from any given supplier in the supply chain; (iii) employing approved vendor lists with standing reputations in industry, and (iv) using procurement carve outs (i.e., exclusions to commitments or obligations).
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and services acquisition policy
configuration management policy
procedures addressing supply chain protection
procedures addressing the integration of information security requirements into the acquisition process
procedures addressing the baseline configuration of the information system
configuration management plan
information system design documentation
information system architecture and associated configuration documentation
solicitation documentation
acquisition documentation
acquisition contracts for the information system, system component, or information system service
list of security safeguards to be taken to protect organizational supply chain against potential supply chain threats
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with system and services acquisition responsibilities
organizational personnel with information security responsibilities
organizational personnel with supply chain protection responsibilities
Assessment: TEST
Organizational processes for defining and employing safeguards to limit harm from adversaries of the organizational supply chain
automated mechanisms supporting and/or implementing the definition and employment of safeguards to protect the organizational supply chain
SA-12 (6) MINIMIZING PROCUREMENT TIME
cf SA-12 (1): ACQUISITION STRATEGIES / TOOLS / METHODS
Control
|
Withdrawn: Incorporated into SA-12 (1). |
SA-12 (7) ASSESSMENTS PRIOR TO SELECTION / ACCEPTANCE / UPDATE
Control
|
The organization conducts an assessment of the information system, system component, or information system service prior to selection, acceptance, or update. |
Supplemental guidance
Assessments include, for example, testing, evaluations, reviews, and analyses. Independent, third-party entities or organizational personnel conduct assessments of systems, components, products, tools, and services. Organizations conduct assessments to uncover unintentional vulnerabilities and intentional vulnerabilities including, for example, malicious code, malicious processes, defective software, and counterfeits. Assessments can include, for example, static analyses, dynamic analyses, simulations, white, gray, and black box testing, fuzz testing, penetration testing, and ensuring that components or services are genuine (e.g., using tags, cryptographic hash verifications, or digital signatures). Evidence generated during security assessments is documented for follow-on actions carried out by organizations.
Objectives
|
Determine if the organization conducts an assessment of the information system, system component, or information system service prior to:
|
Assessment: EXAMINE
System and services acquisition policy
procedures addressing supply chain protection
procedures addressing the integration of information security requirements into the acquisition process
security test and evaluation results
vulnerability assessment results
penetration testing results
organizational risk assessment results
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with system and services acquisition responsibilities
organizational personnel with information security responsibilities
organizational personnel with supply chain protection responsibilities
Assessment: TEST
Organizational processes for conducting assessments prior to selection, acceptance, or update
automated mechanisms supporting and/or implementing the conducting of assessments prior to selection, acceptance, or update
SA-12 (8) USE OF ALL-SOURCE INTELLIGENCE
Control
|
The organization uses all-source intelligence analysis of suppliers and potential suppliers of the information system, system component, or information system service. |
Supplemental guidance
All-source intelligence analysis is employed by organizations to inform engineering, acquisition, and risk management decisions. All-source intelligence consists of intelligence products and/or organizations and activities that incorporate all sources of information, most frequently including human intelligence, imagery intelligence, measurement and signature intelligence, signals intelligence, and open source data in the production of finished intelligence. Where available, such information is used to analyze the risk of both intentional and unintentional vulnerabilities from development, manufacturing, and delivery processes, people, and the environment. This review is performed on suppliers at multiple tiers in the supply chain sufficient to manage risks.
Objectives
|
Determine if the organization uses all-source intelligence analysis of:
|
Assessment: EXAMINE
System and services acquisition policy
procedures addressing supply chain protection
solicitation documentation
acquisition documentation
acquisition contracts for the information system, system component, or information system service
records of all-source intelligence analyses
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with system and services acquisition responsibilities
organizational personnel with information security responsibilities
organizational personnel with supply chain protection responsibilities
Assessment: TEST
Organizational processes for use of an all-source analysis of suppliers and potential suppliers
automated mechanisms supporting and/or implementing the use of all-source analysis of suppliers and potential suppliers
SA-12 (9) OPERATIONS SECURITY
Label: INSERT into sa-12..9.
Parameter: sa-12_prm_4 organization-defined Operations Security (OPSEC) safeguards
Control
|
The organization employs sa-12_prm_4 INSERT into sa-12..9. [NO PARAMETER VALUE GIVEN] in accordance with classification guides to protect supply chain-related information for the information system, system component, or information system service. |
Supplemental guidance
Supply chain information includes, for example: user identities; uses for information systems, information system components, and information system services; supplier identities; supplier processes; security requirements; design specifications; testing and evaluation results; and system/component configurations. This control enhancement expands the scope of OPSEC to include suppliers and potential suppliers. OPSEC is a process of identifying critical information and subsequently analyzing friendly actions attendant to operations and other activities to: (i) identify those actions that can be observed by potential adversaries; (ii) determine indicators that adversaries might obtain that could be interpreted or pieced together to derive critical information in sufficient time to cause harm to organizations; (iii) implement safeguards or countermeasures to eliminate or reduce to an acceptable level, exploitable vulnerabilities; and (iv) consider how aggregated information may compromise the confidentiality of users or uses of the supply chain. OPSEC may require organizations to withhold critical mission/business information from suppliers and may include the use of intermediaries to hide the end use, or users, of information systems, system components, or information system services.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and services acquisition policy
procedures addressing supply chain protection
solicitation documentation
acquisition documentation
acquisition contracts for the information system, system component, or information system service
records of all-source intelligence analyses
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with system and services acquisition responsibilities
organizational personnel with information security responsibilities
organizational personnel with supply chain protection responsibilities
Assessment: TEST
Organizational processes for defining and employing OPSEC safeguards
automated mechanisms supporting and/or implementing the definition and employment of OPSEC safeguards
SA-12 (10) VALIDATE AS GENUINE AND NOT ALTERED
Label: INSERT into sa-12..10.
Parameter: sa-12_prm_5 organization-defined security safeguards
Control
|
The organization employs sa-12_prm_5 INSERT into sa-12..10. [NO PARAMETER VALUE GIVEN] to validate that the information system or system component received is genuine and has not been altered. |
Supplemental guidance
For some information system components, especially hardware, there are technical means to help determine if the components are genuine or have been altered. Security safeguards used to validate the authenticity of information systems and information system components include, for example, optical/nanotechnology tagging and side-channel analysis. For hardware, detailed bill of material information can highlight the elements with embedded logic complete with component and production location.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and services acquisition policy
procedures addressing supply chain protection
procedures address the integration of information security requirements into the acquisition process
solicitation documentation
acquisition documentation
service-level agreements
acquisition contracts for the information system, system component, or information system service
evidentiary documentation (including applicable configurations) indicating the information system, system component, or information system service are genuine and have not been altered
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with system and services acquisition responsibilities
organizational personnel with information security responsibilities
organizational personnel with supply chain protection responsibilities
Assessment: TEST
Organizational processes for defining and employing validation safeguards
automated mechanisms supporting and/or implementing the definition and employment of validation safeguards
SA-12 (11) PENETRATION TESTING / ANALYSIS OF ELEMENTS, PROCESSES, AND ACTORS
Label: SELECT for { ancestor-or-self::*[@id][1]/@id }
organizational analysis, independent third-party analysis, organizational penetration testing, independent third-party penetration testing
Label: INSERT into sa-12..11.
Parameter: sa-12_prm_7 organization-defined supply chain elements, processes, and actors
Control
|
The organization employs sa-12_prm_6 SELECT for { ancestor-or-self::*[@id][1]/@id } organizational analysis, independent third-party analysis, organizational penetration testing, independent third-party penetration testing [NO PARAMETER VALUE GIVEN] of sa-12_prm_7 INSERT into sa-12..11. [NO PARAMETER VALUE GIVEN] associated with the information system, system component, or information system service. |
Supplemental guidance
This control enhancement addresses analysis and/or testing of the supply chain, not just delivered items. Supply chain elements are information technology products or product components that contain programmable logic and that are critically important to information system functions. Supply chain processes include, for example: (i) hardware, software, and firmware development processes; (ii) shipping/handling procedures; (iii) personnel and physical security programs; (iv) configuration management tools/measures to maintain provenance; or (v) any other programs, processes, or procedures associated with the production/distribution of supply chain elements. Supply chain actors are individuals with specific roles and responsibilities in the supply chain. The evidence generated during analyses and testing of supply chain elements, processes, and actors is documented and used to inform organizational risk management activities and decisions.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and services acquisition policy
procedures addressing supply chain protection
evidence of organizational analysis, independent third-party analysis, organizational penetration testing, and/or independent third-party penetration testing
list of supply chain elements, processes, and actors (associated with the information system, system component, or information system service) subject to analysis and/or testing
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with system and services acquisition responsibilities
organizational personnel with information security responsibilities
organizational personnel with supply chain protection responsibilities
organizational personnel with responsibilities for analyzing and/or testing supply chain elements, processes, and actors
Assessment: TEST
Organizational processes for defining and employing methods of analysis/testing of supply chain elements, processes, and actors
automated mechanisms supporting and/or implementing the analysis/testing of supply chain elements, processes, and actors
SA-12 (12) INTER-ORGANIZATIONAL AGREEMENTS
Control
|
The organization establishes inter-organizational agreements and procedures with entities involved in the supply chain for the information system, system component, or information system service. |
Supplemental guidance
The establishment of inter-organizational agreements and procedures provides for notification of supply chain compromises. Early notification of supply chain compromises that can potentially adversely affect or have adversely affected organizational information systems, including critical system components, is essential for organizations to provide appropriate responses to such incidents.
Objectives
|
Determine if the organization establishes, with entities involved in the supply chain for the information system, system component, or information system service,:
|
Assessment: EXAMINE
System and services acquisition policy
procedures addressing supply chain protection
acquisition documentation
service-level agreements
acquisition contracts for the information system, system component, or information system service
inter-organizational agreements and procedures
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with system and services acquisition responsibilities
organizational personnel with information security responsibilities
organizational personnel with supply chain protection responsibilities
Assessment: TEST
Organizational processes for establishing inter-organizational agreements and procedures with supply chain entities
SA-12 (13) CRITICAL INFORMATION SYSTEM COMPONENTS
Label: INSERT into sa-12..13.
Parameter: sa-12_prm_8 organization-defined security safeguards
Label: INSERT into sa-12..13.
Parameter: sa-12_prm_9 organization-defined critical information system components
Control
|
The organization employs sa-12_prm_8 INSERT into sa-12..13. [NO PARAMETER VALUE GIVEN] to ensure an adequate supply of sa-12_prm_9 INSERT into sa-12..13. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Adversaries can attempt to impede organizational operations by disrupting the supply of critical information system components or corrupting supplier operations. Safeguards to ensure adequate supplies of critical information system components include, for example: (i) the use of multiple suppliers throughout the supply chain for the identified critical components; and (ii) stockpiling of spare components to ensure operation during mission-critical times.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and services acquisition policy
procedures addressing supply chain protection
physical inventory of critical information system components
inventory records of critical information system components
list of security safeguards ensuring adequate supply of critical information system components
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with system and services acquisition responsibilities
organizational personnel with information security responsibilities
organizational personnel with supply chain protection responsibilities
Assessment: TEST
Organizational processes for defining and employing security safeguards to ensure an adequate supply of critical information system components
automated mechanisms supporting and/or implementing the security safeguards that ensure an adequate supply of critical information system components
SA-12 (14) IDENTITY AND TRACEABILITY
Label: INSERT into sa-12..14.
Parameter: sa-12_prm_10 organization-defined supply chain elements, processes, and actors
Control
|
The organization establishes and retains unique identification of sa-12_prm_10 INSERT into sa-12..14. [NO PARAMETER VALUE GIVEN] for the information system, system component, or information system service. |
Supplemental guidance
Knowing who and what is in the supply chains of organizations is critical to gaining visibility into what is happening within such supply chains, as well as monitoring and identifying high-risk events and activities. Without reasonable visibility and traceability into supply chains (i.e., elements, processes, and actors), it is very difficult for organizations to understand and therefore manage risk, and to reduce the likelihood of adverse events. Uniquely identifying acquirer and integrator roles, organizations, personnel, mission and element processes, testing and evaluation procedures, delivery mechanisms, support mechanisms, communications/delivery paths, and disposal/final disposition activities as well as the components and tools used, establishes a foundational identity structure for assessment of supply chain activities. For example, labeling (using serial numbers) and tagging (using radio-frequency identification [RFID] tags) individual supply chain elements including software packages, modules, and hardware devices, and processes associated with those elements can be used for this purpose. Identification methods are sufficient to support the provenance in the event of a supply chain issue or adverse supply chain event.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and services acquisition policy
procedures addressing supply chain protection
procedures addressing the integration of information security requirements into the acquisition process
list of supply chain elements, processes, and actors (associated with the information system, system component, or information system service) requiring implementation of unique identification processes, procedures, tools, mechanisms, equipment, techniques and/or configurations
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with system and services acquisition responsibilities
organizational personnel with information security responsibilities
organizational personnel with supply chain protection responsibilities
organizational personnel with responsibilities for establishing and retaining unique identification of supply chain elements, processes, and actors
Assessment: TEST
Organizational processes for defining, establishing, and retaining unique identification for supply chain elements, processes, and actors
automated mechanisms supporting and/or implementing the definition, establishment, and retention of unique identification for supply chain elements, processes, and actors
SA-12 (15) PROCESSES TO ADDRESS WEAKNESSES OR DEFICIENCIES
Control
|
The organization establishes a process to address weaknesses or deficiencies in supply chain elements identified during independent or organizational assessments of such elements. |
Supplemental guidance
Evidence generated during independent or organizational assessments of supply chain elements (e.g., penetration testing, audits, verification/validation activities) is documented and used in follow-on processes implemented by organizations to respond to the risks related to the identified weaknesses and deficiencies. Supply chain elements include, for example, supplier development processes and supplier distribution systems.
Objective
|
Determine if the organization establishes a process to address weaknesses or deficiencies in supply chain elements identified during independent or organizational assessments of such elements. |
Assessment: EXAMINE
System and services acquisition policy
procedures addressing supply chain protection
procedures addressing weaknesses or deficiencies in supply chain elements
results of independent or organizational assessments of supply chain controls and processes
acquisition contracts, service-level agreements
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with system and services acquisition responsibilities
organizational personnel with information security responsibilities
organizational personnel with supply chain protection responsibilities
Assessment: TEST
Organizational processes for addressing weaknesses or deficiencies in supply chain elements
automated mechanisms supporting and/or implementing the addressing of weaknesses or deficiencies in supply chain elements
SA-13 TRUSTWORTHINESS
Label: INSERT into sa-13_smt_a (SA-13a.)
Parameter: sa-13_prm_1 organization-defined information system, information system component, or information system service
Label: INSERT into sa-13_smt_b (SA-13b.)
Parameter: sa-13_prm_2 organization-defined assurance overlay
Control
|
The organization:
|
Supplemental guidance
This control helps organizations to make explicit trustworthiness decisions when designing, developing, and implementing information systems that are needed to conduct critical organizational missions/business functions. Trustworthiness is a characteristic/property of an information system that expresses the degree to which the system can be expected to preserve the confidentiality, integrity, and availability of the information it processes, stores, or transmits. Trustworthy information systems are systems that are capable of being trusted to operate within defined levels of risk despite the environmental disruptions, human errors, and purposeful attacks that are expected to occur in the specified environments of operation. Trustworthy systems are important to mission/business success. Two factors affecting the trustworthiness of information systems include: (i) security functionality (i.e., the security features, functions, and/or mechanisms employed within the system and its environment of operation); and (ii) security assurance (i.e., the grounds for confidence that the security functionality is effective in its application). Developers, implementers, operators, and maintainers of organizational information systems can increase the level of assurance (and trustworthiness), for example, by employing well-defined security policy models, structured and rigorous hardware, software, and firmware development techniques, sound system/security engineering principles, and secure configuration settings (defined by a set of assurance-related security controls in Appendix E). Assurance is also based on the assessment of evidence produced during the system development life cycle. Critical missions/business functions are supported by high-impact systems and the associated assurance requirements for such systems. The additional assurance controls in Table E-4 in Appendix E (designated as optional) can be used to develop and implement high-assurance solutions for specific information systems and system components using the concept of overlays described in Appendix I. Organizations select assurance overlays that have been developed, validated, and approved for community adoption (e.g., cross-organization, governmentwide), limiting the development of such overlays on an organization-by-organization basis. Organizations can conduct criticality analyses as described in SA-14, to determine the information systems, system components, or information system services that require high-assurance solutions. Trustworthiness requirements and assurance overlays can be described in the security plans for organizational information systems.
cf RA-2: SECURITY CATEGORIZATION
cf SA-8: SECURITY ENGINEERING PRINCIPLES
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and services acquisition policy
procedures addressing trustworthiness requirements for the information system, system component, or information system service
security plan
information system design documentation
information system configuration settings and associated documentation
security categorization documentation/results
security authorization package for the information system, system component, or information system service
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with system and services acquisition responsibilities
organizational personnel with information security responsibilities
authorizing official
SA-14 CRITICALITY ANALYSIS
Label: INSERT into sa-14
Parameter: sa-14_prm_1 organization-defined information systems, information system components, or information system services
Label: INSERT into sa-14
Parameter: sa-14_prm_2 organization-defined decision points in the system development life cycle
Control
|
The organization identifies critical information system components and functions by performing a criticality analysis for sa-14_prm_1 INSERT into sa-14 [NO PARAMETER VALUE GIVEN] at sa-14_prm_2 INSERT into sa-14 [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Criticality analysis is a key tenet of supply chain risk management and informs the prioritization of supply chain protection activities such as attack surface reduction, use of all-source intelligence, and tailored acquisition strategies. Information system engineers can conduct an end-to-end functional decomposition of an information system to identify mission-critical functions and components. The functional decomposition includes the identification of core organizational missions supported by the system, decomposition into the specific functions to perform those missions, and traceability to the hardware, software, and firmware components that implement those functions, including when the functions are shared by many components within and beyond the information system boundary. Information system components that allow for unmediated access to critical components or functions are considered critical due to the inherent vulnerabilities such components create. Criticality is assessed in terms of the impact of the function or component failure on the ability of the component to complete the organizational missions supported by the information system. A criticality analysis is performed whenever an architecture or design is being developed or modified, including upgrades.
cf PL-8: INFORMATION SECURITY ARCHITECTURE
cf PM-1: INFORMATION SECURITY PROGRAM PLAN
cf SA-8: SECURITY ENGINEERING PRINCIPLES
cf SA-12: SUPPLY CHAIN PROTECTION
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and services acquisition policy
procedures addressing criticality analysis requirements for information systems, security plan
contingency plan
list of information systems, information system components, or information system services requiring criticality analyses
list of critical information system components and functions identified by criticality analyses
criticality analysis documentation
business impact analysis documentation
system development life cycle documentation
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with system and services acquisition responsibilities
organizational personnel with information security responsibilities
organizational personnel with responsibilities for performing criticality analysis for the information system
Control enhancements
SA-14 (1) CRITICAL COMPONENTS WITH NO VIABLE ALTERNATIVE SOURCING
cf SA-20: CUSTOMIZED DEVELOPMENT OF CRITICAL COMPONENTS
Control
|
Withdrawn: Incorporated into SA-20. |
References: None
SA-15 DEVELOPMENT PROCESS, STANDARDS, AND TOOLS
Label: INSERT into sa-15_smt_b (SA-15b.)
Parameter: sa-15_prm_1 organization-defined frequency
Label: INSERT into sa-15_smt_b (SA-15b.)
Parameter: sa-15_prm_2 organization-defined security requirements
Control
|
The organization:
|
Supplemental guidance
Development tools include, for example, programming languages and computer-aided design (CAD) systems. Reviews of development processes can include, for example, the use of maturity models to determine the potential effectiveness of such processes. Maintaining the integrity of changes to tools and processes enables accurate supply chain risk assessment and mitigation, and requires robust configuration control throughout the life cycle (including design, development, transport, delivery, integration, and maintenance) to track authorized changes and prevent unauthorized changes.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and services acquisition policy
procedures addressing development process, standards, and tools
procedures addressing the integration of security requirements during the development process
solicitation documentation
acquisition documentation
service-level agreements
acquisition contracts for the information system, system component, or information system service
system developer documentation listing tool options/configuration guides, configuration management records
change control records
configuration control records
documented reviews of development process, standards, tools, and tool options/configurations
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with system and services acquisition responsibilities
organizational personnel with information security responsibilities
system developer
Control enhancements
SA-15 (1) QUALITY METRICS
Label: SELECT for { ancestor-or-self::*[@id][1]/@id }
Parameter: sa-15_prm_3 Insertion into SA-15 (1)(b)
sa-15_prm_4 INSERT into sa-15..1._smt_b (SA-15 (1)(b)) [NO PARAMETER VALUE GIVEN]
sa-15_prm_5 INSERT into sa-15..1._smt_b (SA-15 (1)(b)) [NO PARAMETER VALUE GIVEN]
upon delivery
Label: INSERT into sa-15..1._smt_b (SA-15 (1)(b))
Parameter: sa-15_prm_4 organization-defined frequency
Label: INSERT into sa-15..1._smt_b (SA-15 (1)(b))
Parameter: sa-15_prm_5 organization-defined program review milestones
Control
|
The organization requires the developer of the information system, system component, or information system service to:
|
Supplemental guidance
Organizations use quality metrics to establish minimum acceptable levels of information system quality. Metrics may include quality gates which are collections of completion criteria or sufficiency standards representing the satisfactory execution of particular phases of the system development project. A quality gate, for example, may require the elimination of all compiler warnings or an explicit determination that the warnings have no impact on the effectiveness of required security capabilities. During the execution phases of development projects, quality gates provide clear, unambiguous indications of progress. Other metrics apply to the entire development project. These metrics can include defining the severity thresholds of vulnerabilities, for example, requiring no known vulnerabilities in the delivered information system with a Common Vulnerability Scoring System (CVSS) severity of Medium or High.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and services acquisition policy
procedures addressing development process, standards, and tools
procedures addressing the integration of security requirements into the acquisition process
solicitation documentation
acquisition documentation
service-level agreements
acquisition contracts for the information system, system component, or information system service
list of quality metrics
documentation evidence of meeting quality metrics
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with system and services acquisition responsibilities
organizational personnel with information security responsibilities
system developer
SA-15 (2) SECURITY TRACKING TOOLS
Control
|
The organization requires the developer of the information system, system component, or information system service to select and employ a security tracking tool for use during the development process. |
Supplemental guidance
Information system development teams select and deploy security tracking tools, including, for example, vulnerability/work item tracking systems that facilitate assignment, sorting, filtering, and tracking of completed work items or tasks associated with system development processes.
Objective
|
Determine if the organization requires the developer of the information system, system component, or information system service to select and employ a security tracking tool for use during the development process. |
Assessment: EXAMINE
System and services acquisition policy
procedures addressing development process, standards, and tools
procedures addressing the integration of security requirements into the acquisition process
solicitation documentation
acquisition documentation
service-level agreements
acquisition contracts for the information system, system component, or information system service
list of quality metrics
documentation evidence of meeting quality metrics
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with system and services acquisition responsibilities
organizational personnel with information security responsibilities
system developer
SA-15 (3) CRITICALITY ANALYSIS
Label: INSERT into sa-15..3.
Parameter: sa-15_prm_6 organization-defined breadth/depth
Label: INSERT into sa-15..3.
Parameter: sa-15_prm_7 organization-defined decision points in the system development life cycle
Control
|
The organization requires the developer of the information system, system component, or information system service to perform a criticality analysis at sa-15_prm_6 INSERT into sa-15..3. [NO PARAMETER VALUE GIVEN] and at sa-15_prm_7 INSERT into sa-15..3. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
This control enhancement provides developer input to the criticality analysis performed by organizations in SA-14. Developer input is essential to such analysis because organizations may not have access to detailed design documentation for information system components that are developed as commercial off-the-shelf (COTS) information technology products (e.g., functional specifications, high-level designs, low-level designs, and source code/hardware schematics).
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and services acquisition policy
procedures addressing development process, standards, and tools
procedures addressing criticality analysis requirements for the information system, system component, or information system service
solicitation documentation
acquisition documentation
service-level agreements
acquisition contracts for the information system, system component, or information system service
criticality analysis documentation
business impact analysis documentation
software development life cycle documentation
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with system and services acquisition responsibilities
organizational personnel with information security responsibilities
organizational personnel responsibility for performing criticality analysis
system developer
Assessment: TEST
Organizational processes for performing criticality analysis
automated mechanisms supporting and/or implementing criticality analysis
SA-15 (4) THREAT MODELING / VULNERABILITY ANALYSIS
Label: INSERT into sa-15..4.
Parameter: sa-15_prm_8 organization-defined breadth/depth
Label: INSERT into sa-15..4._smt_a (SA-15 (4)(a))
Parameter: sa-15_prm_9 organization-defined information concerning impact, environment of operations, known or assumed threats, and acceptable risk levels
Label: INSERT into sa-15..4._smt_b (SA-15 (4)(b))
Parameter: sa-15_prm_10 organization-defined tools and methods
Label: INSERT into sa-15..4._smt_c (SA-15 (4)(c))
Parameter: sa-15_prm_11 organization-defined acceptance criteria
Control
|
The organization requires that developers perform threat modeling and a vulnerability analysis for the information system at sa-15_prm_8 INSERT into sa-15..4. [NO PARAMETER VALUE GIVEN] that:
|
Supplemental guidance
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and services acquisition policy
procedures addressing development process, standards, and tools
solicitation documentation
acquisition documentation
service-level agreements
acquisition contracts for the information system, system component, or information system service
threat modeling documentation
vulnerability analysis results
organizational risk assessments
acceptance criteria for evidence produced from threat modeling and vulnerability analysis
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with system and services acquisition responsibilities
organizational personnel with information security responsibilities
system developer
Assessment: TEST
Organizational processes for performing development threat modeling and vulnerability analysis
automated mechanisms supporting and/or implementing development threat modeling and vulnerability analysis
SA-15 (5) ATTACK SURFACE REDUCTION
Label: INSERT into sa-15..5.
Parameter: sa-15_prm_12 organization-defined thresholds
Control
|
The organization requires the developer of the information system, system component, or information system service to reduce attack surfaces to sa-15_prm_12 INSERT into sa-15..5. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Attack surface reduction is closely aligned with developer threat and vulnerability analyses and information system architecture and design. Attack surface reduction is a means of reducing risk to organizations by giving attackers less opportunity to exploit weaknesses or deficiencies (i.e., potential vulnerabilities) within information systems, information system components, and information system services. Attack surface reduction includes, for example, applying the principle of least privilege, employing layered defenses, applying the principle of least functionality (i.e., restricting ports, protocols, functions, and services), deprecating unsafe functions, and eliminating application programming interfaces (APIs) that are vulnerable to cyber attacks.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and services acquisition policy
procedures addressing development process, standards, and tools
procedures addressing attack surface reduction
solicitation documentation
acquisition documentation
service-level agreements
acquisition contracts for the information system, or information system service
information system design documentation
network diagram
information system configuration settings and associated documentation establishing/enforcing organization-defined thresholds for reducing attack surfaces
list of restricted ports, protocols, functions and services
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with system and services acquisition responsibilities
organizational personnel with information security responsibilities
organizational personnel responsibility for attack surface reduction thresholds
system developer
Assessment: TEST
Organizational processes for defining attack surface reduction thresholds
SA-15 (6) CONTINUOUS IMPROVEMENT
Control
|
The organization requires the developer of the information system, system component, or information system service to implement an explicit process to continuously improve the development process. |
Supplemental guidance
Developers of information systems, information system components, and information system services consider the effectiveness/efficiency of current development processes for meeting quality objectives and addressing security capabilities in current threat environments.
Objective
|
Determine if the organization requires the developer of the information system, system component, or information system service to implement an explicit process to continuously improve the development process. |
Assessment: EXAMINE
System and services acquisition policy
procedures addressing development process, standards, and tools
solicitation documentation
acquisition documentation
service-level agreements
acquisition contracts for the information system, system component, or information system service
quality goals and metrics for improving system development process
security assessments and/or quality control reviews of system development process
plans of action and milestones for improving system development process
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with system and services acquisition responsibilities
organizational personnel with information security responsibilities
system developer
SA-15 (7) AUTOMATED VULNERABILITY ANALYSIS
Label: INSERT into sa-15..7._smt_a (SA-15 (7)(a))
Parameter: sa-15_prm_13 organization-defined tools
Label: INSERT into sa-15..7._smt_d (SA-15 (7)(d))
Parameter: sa-15_prm_14 organization-defined personnel or roles
Control
|
The organization requires the developer of the information system, system component, or information system service to:
|
Supplemental guidance
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and services acquisition policy
procedures addressing development process, standards, and tools
solicitation documentation
acquisition documentation
service-level agreements
acquisition contracts for the information system, system component, or information system service
vulnerability analysis tools and associated documentation
risk assessment reports
vulnerability analysis results
vulnerability mitigation reports
risk mitigation strategy documentation
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with system and services acquisition responsibilities
organizational personnel with information security responsibilities
system developer
organizational personnel performing automated vulnerability analysis on the information system
Assessment: TEST
Organizational processes for vulnerability analysis of information systems, system components, or information system services under development
automated mechanisms supporting and/or implementing vulnerability analysis of information systems, system components, or information system services under development
SA-15 (8) REUSE OF THREAT / VULNERABILITY INFORMATION
Control
|
The organization requires the developer of the information system, system component, or information system service to use threat modeling and vulnerability analyses from similar systems, components, or services to inform the current development process. |
Supplemental guidance
Analysis of vulnerabilities found in similar software applications can inform potential design or implementation issues for information systems under development. Similar information systems or system components may exist within developer organizations. Authoritative vulnerability information is available from a variety of public and private sector sources including, for example, the National Vulnerability Database.
Objective
|
Determine if the organization requires the developer of the information system, system component, or information system service to use threat modeling and vulnerability analyses from similar systems, components, or services to inform the current development process. |
Assessment: EXAMINE
System and services acquisition policy
procedures addressing development process, standards, and tools
solicitation documentation
acquisition documentation
service-level agreements
acquisition contracts for the information system, system component, or information system service
threat modeling and vulnerability analyses from similar information systems, system components, or information system service
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with system and services acquisition responsibilities
organizational personnel with information security responsibilities
system developer
SA-15 (9) USE OF LIVE DATA
Control
|
The organization approves, documents, and controls the use of live data in development and test environments for the information system, system component, or information system service. |
Supplemental guidance
The use of live data in preproduction environments can result in significant risk to organizations. Organizations can minimize such risk by using test or dummy data during the development and testing of information systems, information system components, and information system services.
Objectives
|
Determine if the organization, for the information system, system component, or information system service:
|
Assessment: EXAMINE
System and services acquisition policy
procedures addressing development process, standards, and tools
solicitation documentation
acquisition documentation
service-level agreements
acquisition contracts for the information system, system component, or information system service
information system design documentation
information system configuration settings and associated documentation
documentation authorizing use of live data in development and test environments
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with system and services acquisition responsibilities
organizational personnel with information security responsibilities
system developer
Assessment: TEST
Organizational processes for approving, documenting, and controlling the use of live data in development and test environments
automated mechanisms supporting and/or implementing the approval, documentation, and control of the use of live data in development and test environments
SA-15 (10) INCIDENT RESPONSE PLAN
Control
|
The organization requires the developer of the information system, system component, or information system service to provide an incident response plan. |
Supplemental guidance
The incident response plan for developers of information systems, system components, and information system services is incorporated into organizational incident response plans to provide the type of incident response information not readily available to organizations. Such information may be extremely helpful, for example, when organizations respond to vulnerabilities in commercial off-the-shelf (COTS) information technology products.
Objective
|
Determine if the organization requires the developer of the information system, system component, or information system service to provide an incident response plan. |
Assessment: EXAMINE
System and services acquisition policy
procedures addressing development process, standards, and tools
solicitation documentation
acquisition documentation
service-level agreements
acquisition contracts for the information system, or services
acquisition documentation
solicitation documentation
service-level agreements
developer incident response plan
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with system and services acquisition responsibilities
organizational personnel with information security responsibilities
system developer
SA-15 (11) ARCHIVE INFORMATION SYSTEM / COMPONENT
Control
|
The organization requires the developer of the information system or system component to archive the system or component to be released or delivered together with the corresponding evidence supporting the final security review. |
Supplemental guidance
Archiving relevant documentation from the development process can provide a readily available baseline of information that can be helpful during information system/component upgrades or modifications.
Objective
|
Determine if the organization requires the developer of the information system or system component to archive the system or component to be released or delivered together with the corresponding evidence supporting the final security review. |
Assessment: EXAMINE
System and services acquisition policy
procedures addressing development process, standards, and tools
solicitation documentation
acquisition documentation
service-level agreements
acquisition contracts for the information system, or services
acquisition documentation
solicitation documentation
service-level agreements
developer incident response plan
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with system and services acquisition responsibilities
organizational personnel with information security responsibilities
system developer
References: None
SA-16 DEVELOPER-PROVIDED TRAINING
Label: INSERT into sa-16
Parameter: sa-16_prm_1 organization-defined training
Control
|
The organization requires the developer of the information system, system component, or information system service to provide sa-16_prm_1 INSERT into sa-16 [NO PARAMETER VALUE GIVEN] on the correct use and operation of the implemented security functions, controls, and/or mechanisms. |
Supplemental guidance
This control applies to external and internal (in-house) developers. Training of personnel is an essential element to ensure the effectiveness of security controls implemented within organizational information systems. Training options include, for example, classroom-style training, web-based/computer-based training, and hands-on training. Organizations can also request sufficient training materials from developers to conduct in-house training or offer self-training to organizational personnel. Organizations determine the type of training necessary and may require different types of training for different security functions, controls, or mechanisms.
cf AT-2: SECURITY AWARENESS TRAINING
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and services acquisition policy
procedures addressing developer-provided training
solicitation documentation
acquisition documentation
service-level agreements
acquisition contracts for the information system, system component, or information system service
developer-provided training materials
training records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with system and services acquisition responsibilities
organizational personnel with information system security responsibilities
system developer
organizational or third-party developers with training responsibilities for the information system, system component, or information system service
References: None
SA-17 DEVELOPER SECURITY ARCHITECTURE AND DESIGN
Control
|
The organization requires the developer of the information system, system component, or information system service to produce a design specification and security architecture that:
|
Supplemental guidance
This control is primarily directed at external developers, although it could also be used for internal (in-house) development. In contrast, PL-8 is primarily directed at internal developers to help ensure that organizations develop an information security architecture and such security architecture is integrated or tightly coupled to the enterprise architecture. This distinction is important if/when organizations outsource the development of information systems, information system components, or information system services to external entities, and there is a requirement to demonstrate consistency with the organization’s enterprise architecture and information security architecture.
cf PL-8: INFORMATION SECURITY ARCHITECTURE
cf PM-7: ENTERPRISE ARCHITECTURE
Objectives
|
Determine if the organization requires the developer of the information system, system component, or information system service to produce a design specification and security architecture that:
|
Assessment: EXAMINE
System and services acquisition policy
enterprise architecture policy
procedures addressing developer security architecture and design specification for the information system
solicitation documentation
acquisition documentation
service-level agreements
acquisition contracts for the information system, system component, or information system service
design specification and security architecture documentation for the system
information system design documentation
information system configuration settings and associated documentation
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with system and services acquisition responsibilities
organizational personnel with information security responsibilities
system developer
organizational personnel with security architecture and design responsibilities
Control enhancements
SA-17 (1) FORMAL POLICY MODEL
Label: INSERT into sa-17..1._smt_a (SA-17 (1)(a))
Parameter: sa-17_prm_1 organization-defined elements of organizational security policy
Control
|
The organization requires the developer of the information system, system component, or information system service to:
|
Supplemental guidance
Formal models describe specific behaviors or security policies using formal languages, thus enabling the correctness of those behaviors/policies to be formally proven. Not all components of information systems can be modeled, and generally, formal specifications are scoped to specific behaviors or policies of interest (e.g., nondiscretionary access control policies). Organizations choose the particular formal modeling language and approach based on the nature of the behaviors/policies to be described and the available tools. Formal modeling tools include, for example, Gypsy and Zed.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and services acquisition policy
enterprise architecture policy
procedures addressing developer security architecture and design specification for the information system
solicitation documentation
acquisition documentation
service-level agreements
acquisition contracts for the information system, system component, or information system service
design specification and security architecture documentation for the system
information system design documentation
information system configuration settings and associated documentation
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with system and services acquisition responsibilities
organizational personnel with information security responsibilities
system developer
organizational personnel with security architecture and design responsibilities
SA-17 (2) SECURITY-RELEVANT COMPONENTS
Control
|
The organization requires the developer of the information system, system component, or information system service to:
|
Supplemental guidance
Security-relevant hardware, software, and firmware represent the portion of the information system, component, or service that must be trusted to perform correctly in order to maintain required security properties.
Objectives
|
Determine if the organization requires the developer of the information system, system component, or information system service to:
|
Assessment: EXAMINE
System and services acquisition policy
enterprise architecture policy
procedures addressing developer security architecture and design specification for the information system
solicitation documentation
acquisition documentation
service-level agreements
acquisition contracts for the information system, system component, or information system service
list of security-relevant hardware, software, and firmware components
documented rationale of completeness regarding definitions provided for security-relevant hardware, software, and firmware
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with system and services acquisition responsibilities
organizational personnel with information security responsibilities
system developers
organizational personnel with security architecture and design responsibilities
SA-17 (3) FORMAL CORRESPONDENCE
Control
|
The organization requires the developer of the information system, system component, or information system service to:
|
Supplemental guidance
Correspondence is an important part of the assurance gained through modeling. It demonstrates that the implementation is an accurate transformation of the model, and that any additional code or implementation details present have no impact on the behaviors or policies being modeled. Formal methods can be used to show that the high-level security properties are satisfied by the formal information system description, and that the formal system description is correctly implemented by a description of some lower level, for example a hardware description. Consistency between the formal top-level specification and the formal policy models is generally not amenable to being fully proven. Therefore, a combination of formal/informal methods may be needed to show such consistency. Consistency between the formal top-level specification and the implementation may require the use of an informal demonstration due to limitations in the applicability of formal methods to prove that the specification accurately reflects the implementation. Hardware, software, and firmware mechanisms strictly internal to security-relevant hardware, software, and firmware include, for example, mapping registers and direct memory input/output.
Objectives
|
Determine if the organization requires the developer of the information system, system component, or information system service to:
|
Assessment: EXAMINE
System and services acquisition policy
enterprise architecture policy
formal policy model
procedures addressing developer security architecture and design specification for the information system
solicitation documentation
acquisition documentation
service-level agreements
acquisition contracts for the information system, system component, or information system service
formal top-level specification documentation
information system security architecture and design documentation
information system design documentation
information system configuration settings and associated documentation
documentation describing security-relevant hardware, software and firmware mechanisms not addressed in the formal top-level specification documentation
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with system and services acquisition responsibilities
organizational personnel with information security responsibilities
system developer
organizational personnel with security architecture and design responsibilities
SA-17 (4) INFORMAL CORRESPONDENCE
Label: SELECT for { ancestor-or-self::*[@id][1]/@id }
Parameter: sa-17_prm_2 Insertion into SA-17 (4)(b)
informal demonstration, convincing argument with formal methods as feasible
Control
|
The organization requires the developer of the information system, system component, or information system service to:
|
Supplemental guidance
Correspondence is an important part of the assurance gained through modeling. It demonstrates that the implementation is an accurate transformation of the model, and that any additional code or implementation details present has no impact on the behaviors or policies being modeled. Consistency between the descriptive top-level specification (i.e., high-level/low-level design) and the formal policy model is generally not amenable to being fully proven. Therefore, a combination of formal/informal methods may be needed to show such consistency. Hardware, software, and firmware mechanisms strictly internal to security-relevant hardware, software, and firmware include, for example, mapping registers and direct memory input/output.
Objectives
|
Determine if the organization requires the developer of the information system, system component, or information system service to:
|
Assessment: EXAMINE
System and services acquisition policy
enterprise architecture policy
formal policy model
procedures addressing developer security architecture and design specification for the information system
solicitation documentation
acquisition documentation
service-level agreements
acquisition contracts for the information system, system component, or information system service
informal descriptive top-level specification documentation
information system security architecture and design documentation
information system design documentation
information system configuration settings and associated documentation
documentation describing security-relevant hardware, software and firmware mechanisms not addressed in the informal descriptive top-level specification documentation
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with system and services acquisition responsibilities
organizational personnel with information security responsibilities
system developer
organizational personnel with security architecture and design responsibilities
SA-17 (5) CONCEPTUALLY SIMPLE DESIGN
Control
|
The organization requires the developer of the information system, system component, or information system service to:
|
Supplemental guidance
Objectives
|
Determine if the organization requires the developer of the information system, system component, or information system service to:
|
Assessment: EXAMINE
System and services acquisition policy
enterprise architecture policy
procedures addressing developer security architecture and design specification for the information system
solicitation documentation
acquisition documentation
service-level agreements
acquisition contracts for the information system, system component, or information system service
information system design documentation
information system security architecture documentation
information system configuration settings and associated documentation
developer documentation describing design and structure of security-relevant hardware, software, and firmware components
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with system and services acquisition responsibilities
organizational personnel with information security responsibilities
system developer
organizational personnel with security architecture and design responsibilities
SA-17 (6) STRUCTURE FOR TESTING
Control
|
The organization requires the developer of the information system, system component, or information system service to structure security-relevant hardware, software, and firmware to facilitate testing. |
Supplemental guidance
Objective
|
Determine if the organization requires the developer of the information system, system component, or information system service to structure security-relevant hardware, software, and firmware to facilitate testing. |
Assessment: EXAMINE
System and services acquisition policy
enterprise architecture policy
procedures addressing developer security architecture and design specification for the information system
solicitation documentation
acquisition documentation
service-level agreements
acquisition contracts for the information system, system component, or information system service
information system design documentation
information system security architecture documentation
information system configuration settings and associated documentation
developer documentation describing design and structure of security-relevant hardware, software, and firmware components to facilitate testing
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with system and services acquisition responsibilities
organizational personnel with information security responsibilities
system developer
organizational personnel with security architecture and design responsibilities
SA-17 (7) STRUCTURE FOR LEAST PRIVILEGE
Control
|
The organization requires the developer of the information system, system component, or information system service to structure security-relevant hardware, software, and firmware to facilitate controlling access with least privilege. |
Objective
|
Determine if the organization requires the developer of the information system, system component, or information system service to structure security-relevant hardware, software, and firmware to facilitate controlling access with least privilege. |
Assessment: EXAMINE
System and services acquisition policy
enterprise architecture policy
procedures addressing developer security architecture and design specification for the information system
solicitation documentation
acquisition documentation
service-level agreements
acquisition contracts for the information system, system component, or information system service
information system design documentation
information system security architecture documentation
information system configuration settings and associated documentation
developer documentation describing design and structure of security-relevant hardware, software, and firmware components to facilitate controlling access with least privilege
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with system and services acquisition responsibilities
organizational personnel with information security responsibilities
system developer
organizational personnel with security architecture and design responsibilities
References: None
SA-18 TAMPER RESISTANCE AND DETECTION
Control
|
The organization implements a tamper protection program for the information system, system component, or information system service. |
Supplemental guidance
Anti-tamper technologies and techniques provide a level of protection for critical information systems, system components, and information technology products against a number of related threats including modification, reverse engineering, and substitution. Strong identification combined with tamper resistance and/or tamper detection is essential to protecting information systems, components, and products during distribution and when in use.
cf PE-3: PHYSICAL ACCESS CONTROL
Objective
|
Determine if the organization implements a tamper protection program for the information system, system component, or information system service. |
Assessment: EXAMINE
System and services acquisition policy
procedures addressing tamper resistance and detection
tamper protection program documentation
tamper protection tools and techniques documentation
tamper resistance and detection tools and techniques documentation
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with system and services acquisition responsibilities
organizational personnel with information security responsibilities
organizational personnel with responsibility for the tamper protection program
Assessment: TEST
Organizational processes for implementation of the tamper protection program
automated mechanisms supporting and/or implementing the tamper protection program
Control enhancements
SA-18 (1) MULTIPLE PHASES OF SDLC
Control
|
The organization employs anti-tamper technologies and techniques during multiple phases in the system development life cycle including design, development, integration, operations, and maintenance. |
Supplemental guidance
Organizations use a combination of hardware and software techniques for tamper resistance and detection. Organizations employ obfuscation and self-checking, for example, to make reverse engineering and modifications more difficult, time-consuming, and expensive for adversaries. Customization of information systems and system components can make substitutions easier to detect and therefore limit damage.
Objectives
|
Determine if the organization employs anti-tamper technologies and techniques during multiple phases in the system development life cycle including:
|
Assessment: EXAMINE
System and services acquisition policy
procedures addressing tamper resistance and detection
tamper protection program documentation
tamper protection tools and techniques documentation
tamper resistance and detection tools (technologies) and techniques documentation
system development life cycle documentation
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with system and services acquisition responsibilities
organizational personnel with information security responsibilities
organizational personnel with responsibility for the tamper protection program
organizational personnel with SDLC responsibilities
Assessment: TEST
Organizational processes for employing anti-tamper technologies
automated mechanisms supporting and/or implementing anti-tamper technologies
SA-18 (2) INSPECTION OF INFORMATION SYSTEMS, COMPONENTS, OR DEVICES
Label: INSERT into sa-18..2.
Parameter: sa-18_prm_1 organization-defined information systems, system components, or devices
Label: SELECT for { ancestor-or-self::*[@id][1]/@id }
at random
at sa-18_prm_3 INSERT into sa-18..2. [NO PARAMETER VALUE GIVEN] , upon sa-18_prm_4 INSERT into sa-18..2. [NO PARAMETER VALUE GIVEN]
Label: INSERT into sa-18..2.
Parameter: sa-18_prm_3 organization-defined frequency
Label: INSERT into sa-18..2.
Parameter: sa-18_prm_4 organization-defined indications of need for inspection
Control
|
The organization inspects sa-18_prm_1 INSERT into sa-18..2. [NO PARAMETER VALUE GIVEN] sa-18_prm_2 SELECT for { ancestor-or-self::*[@id][1]/@id } at random at , upon [NO PARAMETER VALUE GIVEN] to detect tampering. |
Supplemental guidance
This control enhancement addresses both physical and logical tampering and is typically applied to mobile devices, notebook computers, or other system components taken out of organization-controlled areas. Indications of need for inspection include, for example, when individuals return from travel to high-risk locations.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and services acquisition policy
procedures addressing tamper resistance and detection
records of random inspections
inspection reports/results
assessment reports/results
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with system and services acquisition responsibilities
organizational personnel with information security responsibilities
organizational personnel with responsibility for the tamper protection program
Assessment: TEST
Organizational processes for inspecting information systems, system components, or devices to detect tampering
automated mechanisms supporting and/or implementing tampering detection
References: None
SA-19 COMPONENT AUTHENTICITY
Label: SELECT for { ancestor-or-self::*[@id][1]/@id }
Parameter: sa-19_prm_1 Insertion into SA-19b.
source of counterfeit component
sa-19_prm_2 INSERT into sa-19_smt_b (SA-19b.) [NO PARAMETER VALUE GIVEN]
sa-19_prm_3 INSERT into sa-19_smt_b (SA-19b.) [NO PARAMETER VALUE GIVEN]
Label: INSERT into sa-19_smt_b (SA-19b.)
Parameter: sa-19_prm_2 organization-defined external reporting organizations
Label: INSERT into sa-19_smt_b (SA-19b.)
Parameter: sa-19_prm_3 organization-defined personnel or roles
Control
|
The organization:
|
Supplemental guidance
Sources of counterfeit components include, for example, manufacturers, developers, vendors, and contractors. Anti-counterfeiting policy and procedures support tamper resistance and provide a level of protection against the introduction of malicious code. External reporting organizations include, for example, US-CERT.
cf PE-3: PHYSICAL ACCESS CONTROL
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and services acquisition policy
anti-counterfeit policy and procedures
media disposal policy
media protection policy
incident response policy
training materials addressing counterfeit information system components
training records on detection and prevention of counterfeit components from entering the information system
reports notifying developers/manufacturers/vendors/ contractors and/or external reporting organizations of counterfeit information system components
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with system and services acquisition responsibilities
organizational personnel with information security responsibilities
organizational personnel with responsibility for anti-counterfeit policy, procedures, and reporting
Assessment: TEST
Organizational processes for anti-counterfeit detection, prevention, and reporting
automated mechanisms supporting and/or implementing anti-counterfeit detection, prevention, and reporting
Control enhancements
SA-19 (1) ANTI-COUNTERFEIT TRAINING
Label: INSERT into sa-19..1.
Parameter: sa-19_prm_4 organization-defined personnel or roles
Control
|
The organization trains sa-19_prm_4 INSERT into sa-19..1. [NO PARAMETER VALUE GIVEN] to detect counterfeit information system components (including hardware, software, and firmware). |
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and services acquisition policy
anti-counterfeit policy and procedures
media disposal policy
media protection policy
incident response policy
training materials addressing counterfeit information system components
training records on detection of counterfeit information system components
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with system and services acquisition responsibilities
organizational personnel with information security responsibilities
organizational personnel with responsibility for anti-counterfeit policy, procedures, and training
Assessment: TEST
Organizational processes for anti-counterfeit training
SA-19 (2) CONFIGURATION CONTROL FOR COMPONENT SERVICE / REPAIR
Label: INSERT into sa-19..2.
Parameter: sa-19_prm_5 organization-defined information system components
Control
|
The organization maintains configuration control over sa-19_prm_5 INSERT into sa-19..2. [NO PARAMETER VALUE GIVEN] awaiting service/repair and serviced/repaired components awaiting return to service. |
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and services acquisition policy
anti-counterfeit policy and procedures
media protection policy
configuration management plan
information system design documentation
information system configuration settings and associated documentation
configuration control records for components awaiting service/repair
configuration control records for serviced/repaired components awaiting return to service
information system maintenance records
information system audit records
inventory management records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with system and services acquisition responsibilities
organizational personnel with information security responsibilities
organizational personnel with responsibility for anti-counterfeit policy and procedures
organizational personnel with responsibility for configuration management
Assessment: TEST
Organizational processes for configuration management
automated mechanisms supporting and/or implementing configuration management
SA-19 (3) COMPONENT DISPOSAL
Label: INSERT into sa-19..3.
Parameter: sa-19_prm_6 organization-defined techniques and methods
Control
|
The organization disposes of information system components using sa-19_prm_6 INSERT into sa-19..3. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Proper disposal of information system components helps to prevent such components from entering the gray market.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and services acquisition policy
anti-counterfeit policy and procedures
media disposal policy
media protection policy
disposal records for information system components
documentation of disposal techniques and methods employed for information system components
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with system and services acquisition responsibilities
organizational personnel with information security responsibilities
organizational personnel with responsibility for anti-counterfeit policy and procedures
organizational personnel with responsibility for disposal of information system components
Assessment: TEST
Organizational techniques and methods for information system component disposal
automated mechanisms supporting and/or implementing system component disposal
SA-19 (4) ANTI-COUNTERFEIT SCANNING
Label: INSERT into sa-19..4.
Parameter: sa-19_prm_7 organization-defined frequency
Control
|
The organization scans for counterfeit information system components sa-19_prm_7 INSERT into sa-19..4. [NO PARAMETER VALUE GIVEN] . |
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and services acquisition policy
anti-counterfeit policy and procedures
information system design documentation
information system configuration settings and associated documentation
scanning tools and associated documentation
scanning results
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with system and services acquisition responsibilities
organizational personnel with information security responsibilities
organizational personnel with responsibility for anti-counterfeit policy and procedures
organizational personnel with responsibility for anti-counterfeit scanning
Assessment: TEST
Organizational processes for anti-counterfeit scanning
automated mechanisms supporting and/or implementing anti-counterfeit scanning
References: None
SA-20 CUSTOMIZED DEVELOPMENT OF CRITICAL COMPONENTS
Label: INSERT into sa-20
Parameter: sa-20_prm_1 organization-defined critical information system components
Control
|
The organization re-implements or custom develops sa-20_prm_1 INSERT into sa-20 [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Organizations determine that certain information system components likely cannot be trusted due to specific threats to and vulnerabilities in those components, and for which there are no viable security controls to adequately mitigate the resulting risk. Re-implementation or custom development of such components helps to satisfy requirements for higher assurance. This is accomplished by initiating changes to system components (including hardware, software, and firmware) such that the standard attacks by adversaries are less likely to succeed. In situations where no alternative sourcing is available and organizations choose not to re-implement or custom develop critical information system components, additional safeguards can be employed (e.g., enhanced auditing, restrictions on source code and system utility access, and protection from deletion of system and application files.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and services acquisition policy
procedures addressing customized development of critical information system components
information system design documentation
information system configuration settings and associated documentation
system development life cycle documentation addressing custom development of critical information system components
configuration management records
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with system and services acquisition responsibilities
organizational personnel with information security responsibilities
organizational personnel with responsibility re-implementation or customized development of critical information system components
Assessment: TEST
Organizational processes for re-implementing or customized development of critical information system components
automated mechanisms supporting and/or implementing re-implementation or customized development of critical information system components
References: None
SA-21 DEVELOPER SCREENING
Label: INSERT into sa-21
Parameter: sa-21_prm_1 organization-defined information system, system component, or information system service
Label: INSERT into sa-21_smt_a (SA-21a.)
Parameter: sa-21_prm_2 organization-defined official government duties
Label: INSERT into sa-21_smt_b (SA-21b.)
Parameter: sa-21_prm_3 organization-defined additional personnel screening criteria
Control
|
The organization requires that the developer of sa-21_prm_1 INSERT into sa-21 [NO PARAMETER VALUE GIVEN] :
|
Supplemental guidance
Because the information system, system component, or information system service may be employed in critical activities essential to the national and/or economic security interests of the United States, organizations have a strong interest in ensuring that the developer is trustworthy. The degree of trust required of the developer may need to be consistent with that of the individuals accessing the information system/component/service once deployed. Examples of authorization and personnel screening criteria include clearance, satisfactory background checks, citizenship, and nationality. Trustworthiness of developers may also include a review and analysis of company ownership and any relationships the company has with entities potentially affecting the quality/reliability of the systems, components, or services being developed.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and services acquisition policy
personnel security policy and procedures
procedures addressing personnel screening
information system design documentation
information system configuration settings and associated documentation
list of appropriate access authorizations required by developers of the information system
personnel screening criteria and associated documentation
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with system and services acquisition responsibilities
organizational personnel with information security responsibilities
organizational personnel with responsibility for developer screening
Assessment: TEST
Organizational processes for developer screening
automated mechanisms supporting developer screening
Control enhancements
SA-21 (1) VALIDATION OF SCREENING
Label: INSERT into sa-21..1.
Parameter: sa-21_prm_4 organization-defined actions
Control
|
The organization requires the developer of the information system, system component, or information system service take sa-21_prm_4 INSERT into sa-21..1. [NO PARAMETER VALUE GIVEN] to ensure that the required access authorizations and screening criteria are satisfied. |
Supplemental guidance
Satisfying required access authorizations and personnel screening criteria includes, for example, providing a listing of all the individuals authorized to perform development activities on the selected information system, system component, or information system service so that organizations can validate that the developer has satisfied the necessary authorization and screening requirements.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and services acquisition policy
personnel security policy and procedures
procedures addressing personnel screening
information system design documentation
information system configuration settings and associated documentation
list of appropriate access authorizations required by developers of the information system
personnel screening criteria and associated documentation
list of actions ensuring required access authorizations and screening criteria are satisfied
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with system and services acquisition responsibilities
organizational personnel with information security responsibilities
organizational personnel with responsibility for developer screening
system developer
Assessment: TEST
Organizational processes for developer screening
automated mechanisms supporting developer screening
References: None
SA-22 UNSUPPORTED SYSTEM COMPONENTS
Control
|
The organization:
|
Supplemental guidance
Support for information system components includes, for example, software patches, firmware updates, replacement parts, and maintenance contracts. Unsupported components (e.g., when vendors are no longer providing critical software patches), provide a substantial opportunity for adversaries to exploit new weaknesses discovered in the currently installed components. Exceptions to replacing unsupported system components may include, for example, systems that provide critical mission/business capability where newer technologies are not available or where the systems are so isolated that installing replacement components is not an option.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and services acquisition policy
procedures addressing replacement or continued use of unsupported information system components
documented evidence of replacing unsupported information system components
documented approvals (including justification) for continued use of unsupported information system components
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with system and services acquisition responsibilities
organizational personnel with information security responsibilities
organizational personnel with responsibility system development life cycle
organizational personnel responsible for configuration management
Assessment: TEST
Organizational processes for replacing unsupported system components
automated mechanisms supporting and/or implementing replacement of unsupported system components
Control enhancements
SA-22 (1) ALTERNATIVE SOURCES FOR CONTINUED SUPPORT
Label: SELECT for { ancestor-or-self::*[@id][1]/@id }
in-house support
sa-22_prm_2 INSERT into sa-22..1. [NO PARAMETER VALUE GIVEN]
Label: INSERT into sa-22..1.
Parameter: sa-22_prm_2 organization-defined support from external providers
Control
|
The organization provides sa-22_prm_1 SELECT for { ancestor-or-self::*[@id][1]/@id } in-house support [NO PARAMETER VALUE GIVEN] for unsupported information system components. |
Supplemental guidance
This control enhancement addresses the need to provide continued support for selected information system components that are no longer supported by the original developers, vendors, or manufacturers when such components remain essential to mission/business operations. Organizations can establish in-house support, for example, by developing customized patches for critical software components or secure the services of external providers who through contractual relationships, provide ongoing support for the designated unsupported components. Such contractual relationships can include, for example, Open Source Software value-added vendors.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and services acquisition policy
procedures addressing support for unsupported information system components
solicitation documentation
acquisition documentation
acquisition contracts
service-level agreements
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with system and services acquisition responsibilities
organizational personnel with information security responsibilities
organizational personnel with responsibility system development life cycle
organizational personnel or third-party external providers supporting information system components no longer supported by original developers, vendors, or manufacturers
Assessment: TEST
Organizational processes for supporting system components no longer supported by original developers, vendors, or manufacturers
automated mechanisms providing support for system components no longer supported by original developers, vendors, or manufacturers
References: None
SYSTEM AND COMMUNICATIONS PROTECTION
SC-1 SYSTEM AND COMMUNICATIONS PROTECTION POLICY AND PROCEDURES
Label: INSERT into sc-1_smt_a (SC-1a.)
Parameter: sc-1_prm_1 organization-defined personnel or roles
Label: INSERT into sc-1_smt_b.1 (SC-1b.1.)
Parameter: sc-1_prm_2 organization-defined frequency
Label: INSERT into sc-1_smt_b.2 (SC-1b.2.)
Parameter: sc-1_prm_3 organization-defined frequency
Control
|
The organization:
|
Supplemental guidance
This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the SC family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and communications protection policy and procedures
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with system and communications protection responsibilities
organizational personnel with information security responsibilities
SC-2 APPLICATION PARTITIONING
Control
|
The information system separates user functionality (including user interface services) from information system management functionality. |
Supplemental guidance
Information system management functionality includes, for example, functions necessary to administer databases, network components, workstations, or servers, and typically requires privileged user access. The separation of user functionality from information system management functionality is either physical or logical. Organizations implement separation of system management-related functionality from user functionality by using different computers, different central processing units, different instances of operating systems, different network addresses, virtualization techniques, or combinations of these or other methods, as appropriate. This type of separation includes, for example, web administrative interfaces that use separate authentication methods for users of any other information system resources. Separation of system and user functionality may include isolating administrative interfaces on different domains and with additional access controls.
Objective
|
Determine if the information system separates user functionality (including user interface services) from information system management functionality. |
Assessment: EXAMINE
System and communications protection policy
procedures addressing application partitioning
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developer
Assessment: TEST
Separation of user functionality from information system management functionality
Control enhancements
SC-2 (1) INTERFACES FOR NON-PRIVILEGED USERS
Control
|
The information system prevents the presentation of information system management-related functionality at an interface for non-privileged users. |
Supplemental guidance
This control enhancement ensures that administration options (e.g., administrator privileges) are not available to general users (including prohibiting the use of the grey-out option commonly used to eliminate accessibility to such information). Such restrictions include, for example, not presenting administration options until users establish sessions with administrator privileges.
Objective
|
Determine if the information system prevents the presentation of information system management-related functionality at an interface for non-privileged users. |
Assessment: EXAMINE
System and communications protection policy
procedures addressing application partitioning
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
non-privileged users of the information system
system developer
Assessment: TEST
Separation of user functionality from information system management functionality
References: None
SC-3 SECURITY FUNCTION ISOLATION
Control
|
The information system isolates security functions from nonsecurity functions. |
Supplemental guidance
The information system isolates security functions from nonsecurity functions by means of an isolation boundary (implemented via partitions and domains). Such isolation controls access to and protects the integrity of the hardware, software, and firmware that perform those security functions. Information systems implement code separation (i.e., separation of security functions from nonsecurity functions) in a number of ways, including, for example, through the provision of security kernels via processor rings or processor modes. For non-kernel code, security function isolation is often achieved through file system protections that serve to protect the code on disk, and address space protections that protect executing code. Information systems restrict access to security functions through the use of access control mechanisms and by implementing least privilege capabilities. While the ideal is for all of the code within the security function isolation boundary to only contain security-relevant code, it is sometimes necessary to include nonsecurity functions within the isolation boundary as an exception.
cf SA-5: INFORMATION SYSTEM DOCUMENTATION
cf SA-8: SECURITY ENGINEERING PRINCIPLES
Objective
|
Determine if the information system isolates security functions from nonsecurity functions. |
Assessment: EXAMINE
System and communications protection policy
procedures addressing security function isolation
list of security functions to be isolated from nonsecurity functions
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developer
Assessment: TEST
Separation of security functions from nonsecurity functions within the information system
Control enhancements
SC-3 (1) HARDWARE SEPARATION
Control
|
The information system utilizes underlying hardware separation mechanisms to implement security function isolation. |
Supplemental guidance
Underlying hardware separation mechanisms include, for example, hardware ring architectures, commonly implemented within microprocessors, and hardware-enforced address segmentation used to support logically distinct storage objects with separate attributes (i.e., readable, writeable).
Objective
|
Determine if the information system utilizes underlying hardware separation mechanisms to implement security function isolation. |
Assessment: EXAMINE
System and communications protection policy
procedures addressing security function isolation
information system design documentation
hardware separation mechanisms
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developer
Assessment: TEST
Separation of security functions from nonsecurity functions within the information system
SC-3 (2) ACCESS / FLOW CONTROL FUNCTIONS
Control
|
The information system isolates security functions enforcing access and information flow control from nonsecurity functions and from other security functions. |
Supplemental guidance
Security function isolation occurs as a result of implementation; the functions can still be scanned and monitored. Security functions that are potentially isolated from access and flow control enforcement functions include, for example, auditing, intrusion detection, and anti-virus functions.
Objectives
|
Determine if the information system isolates security functions enforcing:
|
Assessment: EXAMINE
System and communications protection policy
procedures addressing security function isolation
list of critical security functions
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developer
Assessment: TEST
Isolation of security functions enforcing access and information flow control
SC-3 (3) MINIMIZE NONSECURITY FUNCTIONALITY
Control
|
The organization minimizes the number of nonsecurity functions included within the isolation boundary containing security functions. |
Supplemental guidance
In those instances where it is not feasible to achieve strict isolation of nonsecurity functions from security functions, it is necessary to take actions to minimize the nonsecurity-relevant functions within the security function boundary. Nonsecurity functions contained within the isolation boundary are considered security-relevant because errors or maliciousness in such software, by virtue of being within the boundary, can impact the security functions of organizational information systems. The design objective is that the specific portions of information systems providing information security are of minimal size/complexity. Minimizing the number of nonsecurity functions in the security-relevant components of information systems allows designers and implementers to focus only on those functions which are necessary to provide the desired security capability (typically access enforcement). By minimizing nonsecurity functions within the isolation boundaries, the amount of code that must be trusted to enforce security policies is reduced, thus contributing to understandability.
Objective
|
Determine if the organization implements an information system isolation boundary to minimize the number of nonsecurity functions included within the boundary containing security functions. |
Assessment: EXAMINE
System and communications protection policy
procedures addressing security function isolation
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms supporting and/or implementing an isolation boundary
SC-3 (4) MODULE COUPLING AND COHESIVENESS
Control
|
The organization implements security functions as largely independent modules that maximize internal cohesiveness within modules and minimize coupling between modules. |
Supplemental guidance
The reduction in inter-module interactions helps to constrain security functions and to manage complexity. The concepts of coupling and cohesion are important with respect to modularity in software design. Coupling refers to the dependencies that one module has on other modules. Cohesion refers to the relationship between the different functions within a particular module. Good software engineering practices rely on modular decomposition, layering, and minimization to reduce and manage complexity, thus producing software modules that are highly cohesive and loosely coupled.
Objectives
|
Determine if the organization implements security functions as largely independent modules that:
|
Assessment: EXAMINE
System and communications protection policy
procedures addressing security function isolation
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for maximizing internal cohesiveness within modules and minimizing coupling between modules
automated mechanisms supporting and/or implementing security functions as independent modules
SC-3 (5) LAYERED STRUCTURES
Control
|
The organization implements security functions as a layered structure minimizing interactions between layers of the design and avoiding any dependence by lower layers on the functionality or correctness of higher layers. |
Supplemental guidance
The implementation of layered structures with minimized interactions among security functions and non-looping layers (i.e., lower-layer functions do not depend on higher-layer functions) further enables the isolation of security functions and management of complexity.
Objectives
|
Determine if the organization implements security functions as a layered structure:
|
Assessment: EXAMINE
System and communications protection policy
procedures addressing security function isolation
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for implementing security functions as a layered structure that minimizes interactions between layers and avoids dependence by lower layers on functionality/correctness of higher layers
automated mechanisms supporting and/or implementing security functions as a layered structure
References: None
SC-4 INFORMATION IN SHARED RESOURCES
Control
|
The information system prevents unauthorized and unintended information transfer via shared system resources. |
Supplemental guidance
This control prevents information, including encrypted representations of information, produced by the actions of prior users/roles (or the actions of processes acting on behalf of prior users/roles) from being available to any current users/roles (or current processes) that obtain access to shared system resources (e.g., registers, main memory, hard disks) after those resources have been released back to information systems. The control of information in shared resources is also commonly referred to as object reuse and residual information protection. This control does not address: (i) information remanence which refers to residual representation of data that has been nominally erased or removed; (ii) covert channels (including storage and/or timing channels) where shared resources are manipulated to violate information flow restrictions; or (iii) components within information systems for which there are only single users/roles.
Objective
|
Determine if the information system prevents unauthorized and unintended information transfer via shared system resources. |
Assessment: EXAMINE
System and communications protection policy
procedures addressing information protection in shared system resources
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developer
Assessment: TEST
Automated mechanisms preventing unauthorized and unintended transfer of information via shared system resources
Control enhancements
SC-4 (1) SECURITY LEVELS
cf SC-4: INFORMATION IN SHARED RESOURCES
Control
|
Withdrawn: Incorporated into SC-4. |
SC-4 (2) PERIODS PROCESSING
Label: INSERT into sc-4..2.
Parameter: sc-4_prm_1 organization-defined procedures
Control
|
The information system prevents unauthorized information transfer via shared resources in accordance with sc-4_prm_1 INSERT into sc-4..2. [NO PARAMETER VALUE GIVEN] when system processing explicitly switches between different information classification levels or security categories. |
Supplemental guidance
This control enhancement applies when there are explicit changes in information processing levels during information system operations, for example, during multilevel processing and periods processing with information at different classification levels or security categories. Organization-defined procedures may include, for example, approved sanitization processes for electronically stored information.
Objectives
|
Determine if:
|
Assessment: EXAMINE
System and communications protection policy
procedures addressing information protection in shared system resources
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developer
Assessment: TEST
Automated mechanisms preventing unauthorized transfer of information via shared system resources
References: None
SC-5 DENIAL OF SERVICE PROTECTION
Label: INSERT into sc-5
Parameter: sc-5_prm_1 organization-defined types of denial of service attacks or references to sources for such information
Label: INSERT into sc-5
Parameter: sc-5_prm_2 organization-defined security safeguards
Control
|
The information system protects against or limits the effects of the following types of denial of service attacks: sc-5_prm_1 INSERT into sc-5 [NO PARAMETER VALUE GIVEN] by employing sc-5_prm_2 INSERT into sc-5 [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
A variety of technologies exist to limit, or in some cases, eliminate the effects of denial of service attacks. For example, boundary protection devices can filter certain types of packets to protect information system components on internal organizational networks from being directly affected by denial of service attacks. Employing increased capacity and bandwidth combined with service redundancy may also reduce the susceptibility to denial of service attacks.
Objectives
|
Determine if:
|
Assessment: EXAMINE
System and communications protection policy
procedures addressing denial of service protection
information system design documentation
security plan
list of denial of services attacks requiring employment of security safeguards to protect against or limit effects of such attacks
list of security safeguards protecting against or limiting the effects of denial of service attacks
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel with incident response responsibilities
system developer
Assessment: TEST
Automated mechanisms protecting against or limiting the effects of denial of service attacks
Control enhancements
SC-5 (1) RESTRICT INTERNAL USERS
Label: INSERT into sc-5..1.
Parameter: sc-5_prm_3 organization-defined denial of service attacks
Control
|
The information system restricts the ability of individuals to launch sc-5_prm_3 INSERT into sc-5..1. [NO PARAMETER VALUE GIVEN] against other information systems. |
Supplemental guidance
Restricting the ability of individuals to launch denial of service attacks requires that the mechanisms used for such attacks are unavailable. Individuals of concern can include, for example, hostile insiders or external adversaries that have successfully breached the information system and are using the system as a platform to launch cyber attacks on third parties. Organizations can restrict the ability of individuals to connect and transmit arbitrary information on the transport medium (i.e., network, wireless spectrum). Organizations can also limit the ability of individuals to use excessive information system resources. Protection against individuals having the ability to launch denial of service attacks may be implemented on specific information systems or on boundary devices prohibiting egress to potential target systems.
Objectives
|
Determine if:
|
Assessment: EXAMINE
System and communications protection policy
procedures addressing denial of service protection
information system design documentation
security plan
list of denial of service attacks launched by individuals against information systems
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel with incident response responsibilities
system developer
Assessment: TEST
Automated mechanisms restricting the ability to launch denial of service attacks against other information systems
SC-5 (2) EXCESS CAPACITY / BANDWIDTH / REDUNDANCY
Control
|
The information system manages excess capacity, bandwidth, or other redundancy to limit the effects of information flooding denial of service attacks. |
Supplemental guidance
Managing excess capacity ensures that sufficient capacity is available to counter flooding attacks. Managing excess capacity may include, for example, establishing selected usage priorities, quotas, or partitioning.
Objectives
|
Determine if the information system, to limit the effects of information flooding denial of service attacks, manages:
|
Assessment: EXAMINE
System and communications protection policy
procedures addressing denial of service protection
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel with incident response responsibilities
system developer
Assessment: TEST
Automated mechanisms implementing management of information system bandwidth, capacity, and redundancy to limit the effects of information flooding denial of service attacks
SC-5 (3) DETECTION / MONITORING
Label: INSERT into sc-5..3._smt_a (SC-5 (3)(a))
Parameter: sc-5_prm_4 organization-defined monitoring tools
Label: INSERT into sc-5..3._smt_b (SC-5 (3)(b))
Parameter: sc-5_prm_5 organization-defined information system resources
Control
|
The organization:
|
Supplemental guidance
Organizations consider utilization and capacity of information system resources when managing risk from denial of service due to malicious attacks. Denial of service attacks can originate from external or internal sources. Information system resources sensitive to denial of service include, for example, physical disk storage, memory, and CPU cycles. Common safeguards to prevent denial of service attacks related to storage utilization and capacity include, for example, instituting disk quotas, configuring information systems to automatically alert administrators when specific storage capacity thresholds are reached, using file compression technologies to maximize available storage space, and imposing separate partitions for system and user data.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and communications protection policy
procedures addressing denial of service protection
information system design documentation
information system monitoring tools and techniques documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel with detection and monitoring responsibilities
Assessment: TEST
Automated mechanisms/tools implementing information system monitoring for denial of service attacks
References: None
SC-6 RESOURCE AVAILABILITY
Label: INSERT into sc-6
Parameter: sc-6_prm_1 organization-defined resources
Label: SELECT for { ancestor-or-self::*[@id][1]/@id }
Label: INSERT into sc-6
Parameter: sc-6_prm_3 organization-defined security safeguards
Control
|
The information system protects the availability of resources by allocating sc-6_prm_1 INSERT into sc-6 [NO PARAMETER VALUE GIVEN] by sc-6_prm_2 SELECT for { ancestor-or-self::*[@id][1]/@id } priority quota [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Priority protection helps prevent lower-priority processes from delaying or interfering with the information system servicing any higher-priority processes. Quotas prevent users or processes from obtaining more than predetermined amounts of resources. This control does not apply to information system components for which there are only single users/roles.
Objectives
|
Determine if:
|
Assessment: EXAMINE
System and communications protection policy
procedures addressing prioritization of information system resources
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developer
Assessment: TEST
Automated mechanisms supporting and/or implementing resource allocation capability
safeguards employed to protect availability of resources
References: None
SC-7 BOUNDARY PROTECTION
Label: SELECT for { ancestor-or-self::*[@id][1]/@id }
Parameter: sc-7_prm_1 Insertion into SC-7b.
physically
logically
Control
|
The information system:
|
Supplemental guidance
Managed interfaces include, for example, gateways, routers, firewalls, guards, network-based malicious code analysis and virtualization systems, or encrypted tunnels implemented within a security architecture (e.g., routers protecting firewalls or application gateways residing on protected subnetworks). Subnetworks that are physically or logically separated from internal networks are referred to as demilitarized zones or DMZs. Restricting or prohibiting interfaces within organizational information systems includes, for example, restricting external web traffic to designated web servers within managed interfaces and prohibiting external traffic that appears to be spoofing internal addresses. Organizations consider the shared nature of commercial telecommunications services in the implementation of security controls associated with the use of such services. Commercial telecommunications services are commonly based on network components and consolidated management systems shared by all attached commercial customers, and may also include third party-provided access lines and other service elements. Such transmission services may represent sources of increased risk despite contract security provisions.
cf AC-4: INFORMATION FLOW ENFORCEMENT
cf CA-3: SYSTEM INTERCONNECTIONS
cf CP-8: TELECOMMUNICATIONS SERVICES
Objectives
|
Determine if the information system:
|
Assessment: EXAMINE
System and communications protection policy
procedures addressing boundary protection
list of key internal boundaries of the information system
information system design documentation
boundary protection hardware and software
information system configuration settings and associated documentation
enterprise security architecture documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developer
organizational personnel with boundary protection responsibilities
Assessment: TEST
Automated mechanisms implementing boundary protection capability
Control enhancements
SC-7 (1) PHYSICALLY SEPARATED SUBNETWORKS
Control
|
Withdrawn: Incorporated into SC-7. |
SC-7 (3) ACCESS POINTS
Control
|
The organization limits the number of external network connections to the information system. |
Supplemental guidance
Limiting the number of external network connections facilitates more comprehensive monitoring of inbound and outbound communications traffic. The Trusted Internet Connection (TIC) initiative is an example of limiting the number of external network connections.
Objective
|
Determine if the organization limits the number of external network connections to the information system. |
Assessment: EXAMINE
System and communications protection policy
procedures addressing boundary protection
information system design documentation
boundary protection hardware and software
information system architecture and configuration documentation
information system configuration settings and associated documentation
communications and network traffic monitoring logs
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel with boundary protection responsibilities
Assessment: TEST
Automated mechanisms implementing boundary protection capability
automated mechanisms limiting the number of external network connections to the information system
SC-7 (4) EXTERNAL TELECOMMUNICATIONS SERVICES
Label: INSERT into sc-7..4._smt_e (SC-7 (4)(e))
Parameter: sc-7_prm_2 organization-defined frequency
Control
|
The organization:
|
Supplemental guidance
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and communications protection policy
traffic flow policy
information flow control policy
procedures addressing boundary protection
information system security architecture
information system design documentation
boundary protection hardware and software
information system architecture and configuration documentation
information system configuration settings and associated documentation
records of traffic flow policy exceptions
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel with boundary protection responsibilities
Assessment: TEST
Organizational processes for documenting and reviewing exceptions to the traffic flow policy
organizational processes for removing exceptions to the traffic flow policy
automated mechanisms implementing boundary protection capability
managed interfaces implementing traffic flow policy
SC-7 (5) DENY BY DEFAULT / ALLOW BY EXCEPTION
Control
|
The information system at managed interfaces denies network communications traffic by default and allows network communications traffic by exception (i.e., deny all, permit by exception). |
Supplemental guidance
This control enhancement applies to both inbound and outbound network communications traffic. A deny-all, permit-by-exception network communications traffic policy ensures that only those connections which are essential and approved are allowed.
Objectives
|
Determine if the information system, at managed interfaces:
|
Assessment: EXAMINE
System and communications protection policy
procedures addressing boundary protection
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developer
organizational personnel with boundary protection responsibilities
Assessment: TEST
Automated mechanisms implementing traffic management at managed interfaces
SC-7 (6) RESPONSE TO RECOGNIZED FAILURES
Control
|
Withdrawn: Incorporated into SC-7 (18). |
SC-7 (7) PREVENT SPLIT TUNNELING FOR REMOTE DEVICES
Control
|
The information system, in conjunction with a remote device, prevents the device from simultaneously establishing non-remote connections with the system and communicating via some other connection to resources in external networks. |
Supplemental guidance
This control enhancement is implemented within remote devices (e.g., notebook computers) through configuration settings to disable split tunneling in those devices, and by preventing those configuration settings from being readily configurable by users. This control enhancement is implemented within the information system by the detection of split tunneling (or of configuration settings that allow split tunneling) in the remote device, and by prohibiting the connection if the remote device is using split tunneling. Split tunneling might be desirable by remote users to communicate with local information system resources such as printers/file servers. However, split tunneling would in effect allow unauthorized external connections, making the system more vulnerable to attack and to exfiltration of organizational information. The use of VPNs for remote connections, when adequately provisioned with appropriate security controls, may provide the organization with sufficient assurance that it can effectively treat such connections as non-remote connections from the confidentiality and integrity perspective. VPNs thus provide a means for allowing non-remote communications paths from remote devices. The use of an adequately provisioned VPN does not eliminate the need for preventing split tunneling.
Objective
|
Determine if the information system, in conjunction with a remote device, prevents the device from simultaneously establishing non-remote connections with the system and communicating via some other connection to resources in external networks. |
Assessment: EXAMINE
System and communications protection policy
procedures addressing boundary protection
information system design documentation
information system hardware and software
information system architecture
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developer
organizational personnel with boundary protection responsibilities
Assessment: TEST
Automated mechanisms implementing boundary protection capability
automated mechanisms supporting/restricting non-remote connections
SC-7 (8) ROUTE TRAFFIC TO AUTHENTICATED PROXY SERVERS
Label: INSERT into sc-7..8.
Parameter: sc-7_prm_3 organization-defined internal communications traffic
Label: INSERT into sc-7..8.
Parameter: sc-7_prm_4 organization-defined external networks
Control
|
The information system routes sc-7_prm_3 INSERT into sc-7..8. [NO PARAMETER VALUE GIVEN] to sc-7_prm_4 INSERT into sc-7..8. [NO PARAMETER VALUE GIVEN] through authenticated proxy servers at managed interfaces. |
Supplemental guidance
External networks are networks outside of organizational control. A proxy server is a server (i.e., information system or application) that acts as an intermediary for clients requesting information system resources (e.g., files, connections, web pages, or services) from other organizational servers. Client requests established through an initial connection to the proxy server are evaluated to manage complexity and to provide additional protection by limiting direct connectivity. Web content filtering devices are one of the most common proxy servers providing access to the Internet. Proxy servers support logging individual Transmission Control Protocol (TCP) sessions and blocking specific Uniform Resource Locators (URLs), domain names, and Internet Protocol (IP) addresses. Web proxies can be configured with organization-defined lists of authorized and unauthorized websites.
Objectives
|
Determine if:
|
Assessment: EXAMINE
System and communications protection policy
procedures addressing boundary protection
information system design documentation
information system hardware and software
information system architecture
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developer
organizational personnel with boundary protection responsibilities
Assessment: TEST
Automated mechanisms implementing traffic management through authenticated proxy servers at managed interfaces
SC-7 (9) RESTRICT THREATENING OUTGOING COMMUNICATIONS TRAFFIC
Control
|
The information system:
|
Supplemental guidance
Detecting outgoing communications traffic from internal actions that may pose threats to external information systems is sometimes termed extrusion detection. Extrusion detection at information system boundaries as part of managed interfaces includes the analysis of incoming and outgoing communications traffic searching for indications of internal threats to the security of external systems. Such threats include, for example, traffic indicative of denial of service attacks and traffic containing malicious code.
cf AU-6: AUDIT REVIEW, ANALYSIS, AND REPORTING
Objectives
|
Determine if the information system:
|
Assessment: EXAMINE
System and communications protection policy
procedures addressing boundary protection
information system design documentation
information system hardware and software
information system architecture
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developer
organizational personnel with boundary protection responsibilities
Assessment: TEST
Automated mechanisms implementing boundary protection capability
automated mechanisms implementing detection and denial of threatening outgoing communications traffic
automated mechanisms implementing auditing of outgoing communications traffic
SC-7 (10) PREVENT UNAUTHORIZED EXFILTRATION
Control
|
The organization prevents the unauthorized exfiltration of information across managed interfaces. |
Supplemental guidance
Safeguards implemented by organizations to prevent unauthorized exfiltration of information from information systems include, for example: (i) strict adherence to protocol formats; (ii) monitoring for beaconing from information systems; (iii) monitoring for steganography; (iv) disconnecting external network interfaces except when explicitly needed; (v) disassembling and reassembling packet headers; and (vi) employing traffic profile analysis to detect deviations from the volume/types of traffic expected within organizations or call backs to command and control centers. Devices enforcing strict adherence to protocol formats include, for example, deep packet inspection firewalls and XML gateways. These devices verify adherence to protocol formats and specification at the application layer and serve to identify vulnerabilities that cannot be detected by devices operating at the network or transport layers. This control enhancement is closely associated with cross-domain solutions and system guards enforcing information flow requirements.
Objective
|
Determine if the organization prevents the unauthorized exfiltration of information across managed interfaces. |
Assessment: EXAMINE
System and communications protection policy
procedures addressing boundary protection
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel with boundary protection responsibilities
Assessment: TEST
Automated mechanisms implementing boundary protection capability
preventing unauthorized exfiltration of information across managed interfaces
SC-7 (11) RESTRICT INCOMING COMMUNICATIONS TRAFFIC
Label: INSERT into sc-7..11.
Parameter: sc-7_prm_5 organization-defined authorized sources
Label: INSERT into sc-7..11.
Parameter: sc-7_prm_6 organization-defined authorized destinations
Control
|
The information system only allows incoming communications from sc-7_prm_5 INSERT into sc-7..11. [NO PARAMETER VALUE GIVEN] to be routed to sc-7_prm_6 INSERT into sc-7..11. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
This control enhancement provides determinations that source and destination address pairs represent authorized/allowed communications. Such determinations can be based on several factors including, for example, the presence of source/destination address pairs in lists of authorized/allowed communications, the absence of address pairs in lists of unauthorized/disallowed pairs, or meeting more general rules for authorized/allowed source/destination pairs.
Objectives
|
Determine if:
|
Assessment: EXAMINE
System and communications protection policy
procedures addressing boundary protection
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developer
organizational personnel with boundary protection responsibilities
Assessment: TEST
Automated mechanisms implementing boundary protection capabilities with respect to source/destination address pairs
SC-7 (12) HOST-BASED PROTECTION
Label: INSERT into sc-7..12.
Parameter: sc-7_prm_7 organization-defined host-based boundary protection mechanisms
Label: INSERT into sc-7..12.
Parameter: sc-7_prm_8 organization-defined information system components
Control
|
The organization implements sc-7_prm_7 INSERT into sc-7..12. [NO PARAMETER VALUE GIVEN] at sc-7_prm_8 INSERT into sc-7..12. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Host-based boundary protection mechanisms include, for example, host-based firewalls. Information system components employing host-based boundary protection mechanisms include, for example, servers, workstations, and mobile devices.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and communications protection policy
procedures addressing boundary protection
information system design documentation
boundary protection hardware and software
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel with boundary protection responsibilities
information system users
Assessment: TEST
Automated mechanisms implementing host-based boundary protection capabilities
SC-7 (13) ISOLATION OF SECURITY TOOLS / MECHANISMS / SUPPORT COMPONENTS
Label: INSERT into sc-7..13.
Parameter: sc-7_prm_9 organization-defined information security tools, mechanisms, and support components
Control
|
The organization isolates sc-7_prm_9 INSERT into sc-7..13. [NO PARAMETER VALUE GIVEN] from other internal information system components by implementing physically separate subnetworks with managed interfaces to other components of the system. |
Supplemental guidance
Physically separate subnetworks with managed interfaces are useful, for example, in isolating computer network defenses from critical operational processing networks to prevent adversaries from discovering the analysis and forensics techniques of organizations.
cf SA-8: SECURITY ENGINEERING PRINCIPLES
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and communications protection policy
procedures addressing boundary protection
information system design documentation
information system hardware and software
information system architecture
information system configuration settings and associated documentation
list of security tools and support components to be isolated from other internal information system components
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel with boundary protection responsibilities
Assessment: TEST
Automated mechanisms supporting and/or implementing isolation of information security tools, mechanisms, and support components
SC-7 (14) PROTECTS AGAINST UNAUTHORIZED PHYSICAL CONNECTIONS
Label: INSERT into sc-7..14.
Parameter: sc-7_prm_10 organization-defined managed interfaces
Control
|
The organization protects against unauthorized physical connections at sc-7_prm_10 INSERT into sc-7..14. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Information systems operating at different security categories or classification levels may share common physical and environmental controls, since the systems may share space within organizational facilities. In practice, it is possible that these separate information systems may share common equipment rooms, wiring closets, and cable distribution paths. Protection against unauthorized physical connections can be achieved, for example, by employing clearly identified and physically separated cable trays, connection frames, and patch panels for each side of managed interfaces with physical access controls enforcing limited authorized access to these items.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and communications protection policy
procedures addressing boundary protection
information system design documentation
information system hardware and software
information system architecture
information system configuration settings and associated documentation
facility communications and wiring diagram
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel with boundary protection responsibilities
Assessment: TEST
Automated mechanisms supporting and/or implementing protection against unauthorized physical connections
SC-7 (15) ROUTE PRIVILEGED NETWORK ACCESSES
Control
|
The information system routes all networked, privileged accesses through a dedicated, managed interface for purposes of access control and auditing. |
Supplemental guidance
Objectives
|
Determine if the information system routes all networked, privileged accesses through a dedicated, managed interface for the purposes of:
|
Assessment: EXAMINE
System and communications protection policy
procedures addressing boundary protection
information system design documentation
information system hardware and software
information system architecture
information system configuration settings and associated documentation
audit logs
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developer
organizational personnel with boundary protection responsibilities
Assessment: TEST
Automated mechanisms supporting and/or implementing the routing of networked, privileged access through dedicated managed interfaces
SC-7 (16) PREVENT DISCOVERY OF COMPONENTS / DEVICES
Control
|
The information system prevents discovery of specific system components composing a managed interface. |
Supplemental guidance
This control enhancement protects network addresses of information system components that are part of managed interfaces from discovery through common tools and techniques used to identify devices on networks. Network addresses are not available for discovery (e.g., network address not published or entered in domain name systems), requiring prior knowledge for access. Another obfuscation technique is to periodically change network addresses.
Objective
|
Determine if the information system prevents discovery of specific system components composing a managed interface. |
Assessment: EXAMINE
System and communications protection policy
procedures addressing boundary protection
information system design documentation
information system hardware and software
information system architecture
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developer
organizational personnel with boundary protection responsibilities
Assessment: TEST
Automated mechanisms supporting and/or implementing the prevention of discovery of system components at managed interfaces
SC-7 (17) AUTOMATED ENFORCEMENT OF PROTOCOL FORMATS
Control
|
The information system enforces adherence to protocol formats. |
Supplemental guidance
Information system components that enforce protocol formats include, for example, deep packet inspection firewalls and XML gateways. Such system components verify adherence to protocol formats/specifications (e.g., IEEE) at the application layer and identify significant vulnerabilities that cannot be detected by devices operating at the network or transport layers.
Objective
|
Determine if the information system enforces adherence to protocol formats. |
Assessment: EXAMINE
System and communications protection policy
procedures addressing boundary protection
information system design documentation
information system architecture
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developer
organizational personnel with boundary protection responsibilities
Assessment: TEST
Automated mechanisms supporting and/or implementing enforcement of adherence to protocol formats
SC-7 (18) FAIL SECURE
Control
|
The information system fails securely in the event of an operational failure of a boundary protection device. |
Supplemental guidance
Fail secure is a condition achieved by employing information system mechanisms to ensure that in the event of operational failures of boundary protection devices at managed interfaces (e.g., routers, firewalls, guards, and application gateways residing on protected subnetworks commonly referred to as demilitarized zones), information systems do not enter into unsecure states where intended security properties no longer hold. Failures of boundary protection devices cannot lead to, or cause information external to the devices to enter the devices, nor can failures permit unauthorized information releases.
Objective
|
Determine if the information system fails securely in the event of an operational failure of a boundary protection device. |
Assessment: EXAMINE
System and communications protection policy
procedures addressing boundary protection
information system design documentation
information system architecture
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developer
organizational personnel with boundary protection responsibilities
Assessment: TEST
Automated mechanisms supporting and/or implementing secure failure
SC-7 (19) BLOCKS COMMUNICATION FROM NON-ORGANIZATIONALLY CONFIGURED HOSTS
Label: INSERT into sc-7..19.
Parameter: sc-7_prm_11 organization-defined communication clients
Control
|
The information system blocks both inbound and outbound communications traffic between sc-7_prm_11 INSERT into sc-7..19. [NO PARAMETER VALUE GIVEN] that are independently configured by end users and external service providers. |
Supplemental guidance
Communication clients independently configured by end users and external service providers include, for example, instant messaging clients. Traffic blocking does not apply to communication clients that are configured by organizations to perform authorized functions.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and communications protection policy
procedures addressing boundary protection
information system design documentation
information system hardware and software
information system architecture
information system configuration settings and associated documentation
list of communication clients independently configured by end users and external service providers
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel with boundary protection responsibilities
Assessment: TEST
Automated mechanisms supporting and/or implementing the blocking of inbound and outbound communications traffic between communication clients independently configured by end users and external service providers
SC-7 (20) DYNAMIC ISOLATION / SEGREGATION
Label: INSERT into sc-7..20.
Parameter: sc-7_prm_12 organization-defined information system components
Control
|
The information system provides the capability to dynamically isolate/segregate sc-7_prm_12 INSERT into sc-7..20. [NO PARAMETER VALUE GIVEN] from other components of the system. |
Supplemental guidance
The capability to dynamically isolate or segregate certain internal components of organizational information systems is useful when it is necessary to partition or separate certain components of dubious origin from those components possessing greater trustworthiness. Component isolation reduces the attack surface of organizational information systems. Isolation of selected information system components is also a means of limiting the damage from successful cyber attacks when those attacks occur.
Objectives
|
Determine if:
|
Assessment: EXAMINE
System and communications protection policy
procedures addressing boundary protection
information system design documentation
information system hardware and software
information system architecture
information system configuration settings and associated documentation
list of information system components to be dynamically isolated/segregated from other components of the system
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developer
organizational personnel with boundary protection responsibilities
Assessment: TEST
Automated mechanisms supporting and/or implementing the capability to dynamically isolate/segregate information system components
SC-7 (21) ISOLATION OF INFORMATION SYSTEM COMPONENTS
Label: INSERT into sc-7..21.
Parameter: sc-7_prm_13 organization-defined information system components
Label: INSERT into sc-7..21.
Parameter: sc-7_prm_14 organization-defined missions and/or business functions
Control
|
The organization employs boundary protection mechanisms to separate sc-7_prm_13 INSERT into sc-7..21. [NO PARAMETER VALUE GIVEN] supporting sc-7_prm_14 INSERT into sc-7..21. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Organizations can isolate information system components performing different missions and/or business functions. Such isolation limits unauthorized information flows among system components and also provides the opportunity to deploy greater levels of protection for selected components. Separating system components with boundary protection mechanisms provides the capability for increased protection of individual components and to more effectively control information flows between those components. This type of enhanced protection limits the potential harm from cyber attacks and errors. The degree of separation provided varies depending upon the mechanisms chosen. Boundary protection mechanisms include, for example, routers, gateways, and firewalls separating system components into physically separate networks or subnetworks, cross-domain devices separating subnetworks, virtualization techniques, and encrypting information flows among system components using distinct encryption keys.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and communications protection policy
procedures addressing boundary protection
information system design documentation
information system hardware and software
enterprise architecture documentation
information system architecture
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel with boundary protection responsibilities
Assessment: TEST
Automated mechanisms supporting and/or implementing the capability to separate information system components supporting organizational missions and/or business functions
SC-7 (22) SEPARATE SUBNETS FOR CONNECTING TO DIFFERENT SECURITY DOMAINS
Control
|
The information system implements separate network addresses (i.e., different subnets) to connect to systems in different security domains. |
Supplemental guidance
Decomposition of information systems into subnets helps to provide the appropriate level of protection for network connections to different security domains containing information with different security categories or classification levels.
Objective
|
Determine if the information system implements separate network addresses (i.e., different subnets) to connect to systems in different security domains. |
Assessment: EXAMINE
System and communications protection policy
procedures addressing boundary protection
information system design documentation
information system hardware and software
information system architecture
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developer
organizational personnel with boundary protection responsibilities
Assessment: TEST
Automated mechanisms supporting and/or implementing separate network addresses/different subnets
SC-7 (23) DISABLE SENDER FEEDBACK ON PROTOCOL VALIDATION FAILURE
Control
|
The information system disables feedback to senders on protocol format validation failure. |
Supplemental guidance
Disabling feedback to senders when there is a failure in protocol validation format prevents adversaries from obtaining information which would otherwise be unavailable.
Objective
|
Determine if the information system disables feedback to senders on protocol format validation failure. |
Assessment: EXAMINE
System and communications protection policy
procedures addressing boundary protection
information system design documentation
information system hardware and software
information system architecture
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developer
organizational personnel with boundary protection responsibilities
Assessment: TEST
Automated mechanisms supporting and/or implementing the disabling of feedback to senders on protocol format validation failure
References
SC-8 TRANSMISSION CONFIDENTIALITY AND INTEGRITY
Label: SELECT for { ancestor-or-self::*[@id][1]/@id }
confidentiality
integrity
Control
|
The information system protects the sc-8_prm_1 SELECT for { ancestor-or-self::*[@id][1]/@id } confidentiality integrity [NO PARAMETER VALUE GIVEN] of transmitted information. |
Supplemental guidance
This control applies to both internal and external networks and all types of information system components from which information can be transmitted (e.g., servers, mobile devices, notebook computers, printers, copiers, scanners, facsimile machines). Communication paths outside the physical protection of a controlled boundary are exposed to the possibility of interception and modification. Protecting the confidentiality and/or integrity of organizational information can be accomplished by physical means (e.g., by employing protected distribution systems) or by logical means (e.g., employing encryption techniques). Organizations relying on commercial providers offering transmission services as commodity services rather than as fully dedicated services (i.e., services which can be highly specialized to individual customer needs), may find it difficult to obtain the necessary assurances regarding the implementation of needed security controls for transmission confidentiality/integrity. In such situations, organizations determine what types of confidentiality/integrity services are available in standard, commercial telecommunication service packages. If it is infeasible or impractical to obtain the necessary security controls and assurances of control effectiveness through appropriate contracting vehicles, organizations implement appropriate compensating security controls or explicitly accept the additional risk.
Objectives
|
Determine if the information system protects one or more of the following:
|
Assessment: EXAMINE
System and communications protection policy
procedures addressing transmission confidentiality and integrity
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developer
Assessment: TEST
Automated mechanisms supporting and/or implementing transmission confidentiality and/or integrity
Control enhancements
SC-8 (1) CRYPTOGRAPHIC OR ALTERNATE PHYSICAL PROTECTION
Label: SELECT for { ancestor-or-self::*[@id][1]/@id }
prevent unauthorized disclosure of information
detect changes to information
Label: INSERT into sc-8..1.
Parameter: sc-8_prm_3 organization-defined alternative physical safeguards
Control
|
The information system implements cryptographic mechanisms to sc-8_prm_2 SELECT for { ancestor-or-self::*[@id][1]/@id } prevent unauthorized disclosure of information detect changes to information [NO PARAMETER VALUE GIVEN] during transmission unless otherwise protected by sc-8_prm_3 INSERT into sc-8..1. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Encrypting information for transmission protects information from unauthorized disclosure and modification. Cryptographic mechanisms implemented to protect information integrity include, for example, cryptographic hash functions which have common application in digital signatures, checksums, and message authentication codes. Alternative physical security safeguards include, for example, protected distribution systems.
Objectives
|
Determine if:
|
Assessment: EXAMINE
System and communications protection policy
procedures addressing transmission confidentiality and integrity
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developer
Assessment: TEST
Cryptographic mechanisms supporting and/or implementing transmission confidentiality and/or integrity
automated mechanisms supporting and/or implementing alternative physical safeguards
organizational processes for defining and implementing alternative physical safeguards
SC-8 (2) PRE / POST TRANSMISSION HANDLING
Label: SELECT for { ancestor-or-self::*[@id][1]/@id }
confidentiality
integrity
Control
|
The information system maintains the sc-8_prm_4 SELECT for { ancestor-or-self::*[@id][1]/@id } confidentiality integrity [NO PARAMETER VALUE GIVEN] of information during preparation for transmission and during reception. |
Supplemental guidance
Information can be either unintentionally or maliciously disclosed or modified during preparation for transmission or during reception including, for example, during aggregation, at protocol transformation points, and during packing/unpacking. These unauthorized disclosures or modifications compromise the confidentiality or integrity of the information.
Objectives
|
Determine if the information system maintains one or more of the following:
|
Assessment: EXAMINE
System and communications protection policy
procedures addressing transmission confidentiality and integrity
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developer
Assessment: TEST
Automated mechanisms supporting and/or implementing transmission confidentiality and/or integrity
SC-8 (3) CRYPTOGRAPHIC PROTECTION FOR MESSAGE EXTERNALS
Label: INSERT into sc-8..3.
Parameter: sc-8_prm_5 organization-defined alternative physical safeguards
Control
|
The information system implements cryptographic mechanisms to protect message externals unless otherwise protected by sc-8_prm_5 INSERT into sc-8..3. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
This control enhancement addresses protection against unauthorized disclosure of information. Message externals include, for example, message headers/routing information. This control enhancement prevents the exploitation of message externals and applies to both internal and external networks or links that may be visible to individuals who are not authorized users. Header/routing information is sometimes transmitted unencrypted because the information is not properly identified by organizations as having significant value or because encrypting the information can result in lower network performance and/or higher costs. Alternative physical safeguards include, for example, protected distribution systems.
Objectives
|
Determine if:
|
Assessment: EXAMINE
System and communications protection policy
procedures addressing transmission confidentiality and integrity
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developer
Assessment: TEST
Cryptographic mechanisms supporting and/or implementing transmission confidentiality and/or integrity for message externals
automated mechanisms supporting and/or implementing alternative physical safeguards
organizational processes for defining and implementing alternative physical safeguards
SC-8 (4) CONCEAL / RANDOMIZE COMMUNICATIONS
Label: INSERT into sc-8..4.
Parameter: sc-8_prm_6 organization-defined alternative physical safeguards
Control
|
The information system implements cryptographic mechanisms to conceal or randomize communication patterns unless otherwise protected by sc-8_prm_6 INSERT into sc-8..4. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
This control enhancement addresses protection against unauthorized disclosure of information. Communication patterns include, for example, frequency, periods, amount, and predictability. Changes to communications patterns can reveal information having intelligence value especially when combined with other available information related to missions/business functions supported by organizational information systems. This control enhancement prevents the derivation of intelligence based on communications patterns and applies to both internal and external networks or links that may be visible to individuals who are not authorized users. Encrypting the links and transmitting in continuous, fixed/random patterns prevents the derivation of intelligence from the system communications patterns. Alternative physical safeguards include, for example, protected distribution systems.
Objectives
|
Determine if:
|
Assessment: EXAMINE
System and communications protection policy
procedures addressing transmission confidentiality and integrity
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developer
Assessment: TEST
Cryptographic mechanisms supporting and/or implementing concealment or randomization of communications patterns
automated mechanisms supporting and/or implementing alternative physical safeguards
organizational processes for defining and implementing alternative physical safeguards
SC-9 TRANSMISSION CONFIDENTIALITY
cf SC-8: TRANSMISSION CONFIDENTIALITY AND INTEGRITY
Control
|
Withdrawn: Incorporated into SC-8. |
References: None
SC-10 NETWORK DISCONNECT
Label: INSERT into sc-10
Parameter: sc-10_prm_1 organization-defined time period
Control
|
The information system terminates the network connection associated with a communications session at the end of the session or after sc-10_prm_1 INSERT into sc-10 [NO PARAMETER VALUE GIVEN] of inactivity. |
Supplemental guidance
This control applies to both internal and external networks. Terminating network connections associated with communications sessions include, for example, de-allocating associated TCP/IP address/port pairs at the operating system level, or de-allocating networking assignments at the application level if multiple application sessions are using a single, operating system-level network connection. Time periods of inactivity may be established by organizations and include, for example, time periods by type of network access or for specific network accesses.
Objectives
|
Determine if:
|
Assessment: EXAMINE
System and communications protection policy
procedures addressing network disconnect
information system design documentation
security plan
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developer
Assessment: TEST
Automated mechanisms supporting and/or implementing network disconnect capability
References: None
SC-11 TRUSTED PATH
Label: INSERT into sc-11
Parameter: sc-11_prm_1 organization-defined security functions to include at a minimum, information system authentication and re-authentication
Control
|
The information system establishes a trusted communications path between the user and the following security functions of the system: sc-11_prm_1 INSERT into sc-11 [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Trusted paths are mechanisms by which users (through input devices) can communicate directly with security functions of information systems with the requisite assurance to support information security policies. The mechanisms can be activated only by users or the security functions of organizational information systems. User responses via trusted paths are protected from modifications by or disclosure to untrusted applications. Organizations employ trusted paths for high-assurance connections between security functions of information systems and users (e.g., during system logons). Enforcement of trusted communications paths is typically provided via an implementation that meets the reference monitor concept.
Objectives
|
Determine if:
|
Assessment: EXAMINE
System and communications protection policy
procedures addressing trusted communications paths
security plan
information system design documentation
information system configuration settings and associated documentation
assessment results from independent, testing organizations
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developer
Assessment: TEST
Automated mechanisms supporting and/or implementing trusted communications paths
Control enhancements
SC-11 (1) LOGICAL ISOLATION
Control
|
The information system provides a trusted communications path that is logically isolated and distinguishable from other paths. |
Objectives
|
Determine if the information system provides a trusted communications path that is:
|
Assessment: EXAMINE
System and communications protection policy
procedures addressing trusted communications paths
security plan
information system design documentation
information system configuration settings and associated documentation
assessment results from independent, testing organizations
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developer
Assessment: TEST
Automated mechanisms supporting and/or implementing trusted communications paths
References: None
SC-12 CRYPTOGRAPHIC KEY ESTABLISHMENT AND MANAGEMENT
Label: INSERT into sc-12
Parameter: sc-12_prm_1 organization-defined requirements for key generation, distribution, storage, access, and destruction
Control
|
The organization establishes and manages cryptographic keys for required cryptography employed within the information system in accordance with sc-12_prm_1 INSERT into sc-12 [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Cryptographic key management and establishment can be performed using manual procedures or automated mechanisms with supporting manual procedures. Organizations define key management requirements in accordance with applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance, specifying appropriate options, levels, and parameters. Organizations manage trust stores to ensure that only approved trust anchors are in such trust stores. This includes certificates with visibility external to organizational information systems and certificates related to the internal operations of systems.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and communications protection policy
procedures addressing cryptographic key establishment and management
information system design documentation
cryptographic mechanisms
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel with responsibilities for cryptographic key establishment and/or management
Assessment: TEST
Automated mechanisms supporting and/or implementing cryptographic key establishment and management
Control enhancements
SC-12 (1) AVAILABILITY
Control
|
The organization maintains availability of information in the event of the loss of cryptographic keys by users. |
Supplemental guidance
Escrowing of encryption keys is a common practice for ensuring availability in the event of loss of keys (e.g., due to forgotten passphrase).
Objective
|
Determine if the organization maintains availability of information in the event of the loss of cryptographic keys by users. |
Assessment: EXAMINE
System and communications protection policy
procedures addressing cryptographic key establishment, management, and recovery
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel with responsibilities for cryptographic key establishment or management
Assessment: TEST
Automated mechanisms supporting and/or implementing cryptographic key establishment and management
SC-12 (2) SYMMETRIC KEYS
Label: SELECT for { ancestor-or-self::*[@id][1]/@id }
NIST FIPS-compliant
NSA-approved
Control
|
The organization produces, controls, and distributes symmetric cryptographic keys using sc-12_prm_2 SELECT for { ancestor-or-self::*[@id][1]/@id } NIST FIPS-compliant NSA-approved [NO PARAMETER VALUE GIVEN] key management technology and processes. |
Objectives
|
Determine if the organization produces, controls, and distributes symmetric cryptographic keys using one of the following:
|
Assessment: EXAMINE
System and communications protection policy
procedures addressing cryptographic key establishment and management
information system design documentation
information system configuration settings and associated documentation
information system audit records
list of FIPS validated cryptographic products
list of NSA-approved cryptographic products
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developer
organizational personnel with responsibilities for cryptographic key establishment or management
Assessment: TEST
Automated mechanisms supporting and/or implementing symmetric cryptographic key establishment and management
SC-12 (3) ASYMMETRIC KEYS
Label: SELECT for { ancestor-or-self::*[@id][1]/@id }
NSA-approved key management technology and processes
approved PKI Class 3 certificates or prepositioned keying material
approved PKI Class 3 or Class 4 certificates and hardware security tokens that protect the user’s private key
Control
|
The organization produces, controls, and distributes asymmetric cryptographic keys using sc-12_prm_3 SELECT for { ancestor-or-self::*[@id][1]/@id } NSA-approved key management technology and processes approved PKI Class 3 certificates or prepositioned keying material approved PKI Class 3 or Class 4 certificates and hardware security tokens that protect the user’s private key [NO PARAMETER VALUE GIVEN] . |
Objectives
|
Determine if the organization produces, controls, and distributes asymmetric cryptographic keys using one of the following:
|
Assessment: EXAMINE
System and communications protection policy
procedures addressing cryptographic key establishment and management
information system design documentation
information system configuration settings and associated documentation
information system audit records
list of NSA-approved cryptographic products
list of approved PKI Class 3 and Class 4 certificates
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developer
organizational personnel with responsibilities for cryptographic key establishment or management
organizational personnel with responsibilities for PKI certificates
Assessment: TEST
Automated mechanisms supporting and/or implementing asymmetric cryptographic key establishment and management
SC-12 (4) PKI CERTIFICATES
cf SC-12: CRYPTOGRAPHIC KEY ESTABLISHMENT AND MANAGEMENT
Control
|
Withdrawn: Incorporated into SC-12. |
SC-12 (5) PKI CERTIFICATES / HARDWARE TOKENS
cf SC-12: CRYPTOGRAPHIC KEY ESTABLISHMENT AND MANAGEMENT
Control
|
Withdrawn: Incorporated into SC-12. |
SC-13 CRYPTOGRAPHIC PROTECTION
Label: INSERT into sc-13
Parameter: sc-13_prm_1 organization-defined cryptographic uses and type of cryptography required for each use
Control
|
The information system implements sc-13_prm_1 INSERT into sc-13 [NO PARAMETER VALUE GIVEN] in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, and standards. |
Supplemental guidance
Cryptography can be employed to support a variety of security solutions including, for example, the protection of classified and Controlled Unclassified Information, the provision of digital signatures, and the enforcement of information separation when authorized individuals have the necessary clearances for such information but lack the necessary formal access approvals. Cryptography can also be used to support random number generation and hash generation. Generally applicable cryptographic standards include FIPS-validated cryptography and NSA-approved cryptography. This control does not impose any requirements on organizations to use cryptography. However, if cryptography is required based on the selection of other security controls, organizations define each type of cryptographic use and the type of cryptography required (e.g., protection of classified information: NSA-approved cryptography; provision of digital signatures: FIPS-validated cryptography).
cf AC-7: UNSUCCESSFUL LOGON ATTEMPTS
cf AU-9: PROTECTION OF AUDIT INFORMATION
cf CM-11: USER-INSTALLED SOFTWARE
cf CP-9: INFORMATION SYSTEM BACKUP
cf IA-3: DEVICE IDENTIFICATION AND AUTHENTICATION
cf IA-7: CRYPTOGRAPHIC MODULE AUTHENTICATION
cf SC-8: TRANSMISSION CONFIDENTIALITY AND INTEGRITY
cf SC-12: CRYPTOGRAPHIC KEY ESTABLISHMENT AND MANAGEMENT
Objectives
|
Determine if:
|
Assessment: EXAMINE
System and communications protection policy
procedures addressing cryptographic protection
information system design documentation
information system configuration settings and associated documentation
cryptographic module validation certificates
list of FIPS validated cryptographic modules
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developer
organizational personnel with responsibilities for cryptographic protection
Assessment: TEST
Automated mechanisms supporting and/or implementing cryptographic protection
Control enhancements
SC-13 (1) FIPS-VALIDATED CRYPTOGRAPHY
cf SC-13: CRYPTOGRAPHIC PROTECTION
Control
|
Withdrawn: Incorporated into SC-13. |
SC-13 (2) NSA-APPROVED CRYPTOGRAPHY
cf SC-13: CRYPTOGRAPHIC PROTECTION
Control
|
Withdrawn: Incorporated into SC-13. |
SC-13 (3) INDIVIDUALS WITHOUT FORMAL ACCESS APPROVALS
cf SC-13: CRYPTOGRAPHIC PROTECTION
Control
|
Withdrawn: Incorporated into SC-13. |
SC-13 (4) DIGITAL SIGNATURES
cf SC-13: CRYPTOGRAPHIC PROTECTION
Control
|
Withdrawn: Incorporated into SC-13. |
SC-14 PUBLIC ACCESS PROTECTIONS
cf SI-3: MALICIOUS CODE PROTECTION
cf SI-4: INFORMATION SYSTEM MONITORING
cf SI-5: SECURITY ALERTS, ADVISORIES, AND DIRECTIVES
cf SI-7: SOFTWARE, FIRMWARE, AND INFORMATION INTEGRITY
cf SI-10: INFORMATION INPUT VALIDATION
Control
|
Withdrawn: Capability provided by AC-2, AC-3, AC-5, AC-6, SI-3, SI-4, SI-5, SI-7, SI-10. |
References: None
SC-15 COLLABORATIVE COMPUTING DEVICES
Label: INSERT into sc-15_smt_a (SC-15a.)
Parameter: sc-15_prm_1 organization-defined exceptions where remote activation is to be allowed
Control
|
The information system:
|
Supplemental guidance
Collaborative computing devices include, for example, networked white boards, cameras, and microphones. Explicit indication of use includes, for example, signals to users when collaborative computing devices are activated.
Objectives
|
Determine if:
|
Assessment: EXAMINE
System and communications protection policy
procedures addressing collaborative computing
access control policy and procedures
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developer
organizational personnel with responsibilities for managing collaborative computing devices
Assessment: TEST
Automated mechanisms supporting and/or implementing management of remote activation of collaborative computing devices
automated mechanisms providing an indication of use of collaborative computing devices
Control enhancements
SC-15 (1) PHYSICAL DISCONNECT
Control
|
The information system provides physical disconnect of collaborative computing devices in a manner that supports ease of use. |
Supplemental guidance
Failing to physically disconnect from collaborative computing devices can result in subsequent compromises of organizational information. Providing easy methods to physically disconnect from such devices after a collaborative computing session helps to ensure that participants actually carry out the disconnect activity without having to go through complex and tedious procedures.
Objective
|
Determine if the information system provides physical disconnect of collaborative computing devices in a manner that supports ease of use. |
Assessment: EXAMINE
System and communications protection policy
procedures addressing collaborative computing
access control policy and procedures
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developer
organizational personnel with responsibilities for managing collaborative computing devices
Assessment: TEST
Automated mechanisms supporting and/or implementing physical disconnect of collaborative computing devices
SC-15 (2) BLOCKING INBOUND / OUTBOUND COMMUNICATIONS TRAFFIC
Control
|
Withdrawn: Incorporated into SC-7. |
SC-15 (3) DISABLING / REMOVAL IN SECURE WORK AREAS
Label: INSERT into sc-15..3.
Parameter: sc-15_prm_2 organization-defined information systems or information system components
Label: INSERT into sc-15..3.
Parameter: sc-15_prm_3 organization-defined secure work areas
Control
|
The organization disables or removes collaborative computing devices from sc-15_prm_2 INSERT into sc-15..3. [NO PARAMETER VALUE GIVEN] in sc-15_prm_3 INSERT into sc-15..3. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Failing to disable or remove collaborative computing devices from information systems or information system components can result in subsequent compromises of organizational information including, for example, eavesdropping on conversations.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and communications protection policy
procedures addressing collaborative computing
access control policy and procedures
information system design documentation
information system configuration settings and associated documentation
information system audit records
list of secure work areas
information systems or information system components in secured work areas where collaborative computing devices are to be disabled or removed
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel with responsibilities for managing collaborative computing devices
Assessment: TEST
Automated mechanisms supporting and/or implementing the capability to disable collaborative computing devices
SC-15 (4) EXPLICITLY INDICATE CURRENT PARTICIPANTS
Label: INSERT into sc-15..4.
Parameter: sc-15_prm_4 organization-defined online meetings and teleconferences
Control
|
The information system provides an explicit indication of current participants in sc-15_prm_4 INSERT into sc-15..4. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
This control enhancement helps to prevent unauthorized individuals from participating in collaborative computing sessions without the explicit knowledge of other participants.
Objectives
|
Determine if:
|
Assessment: EXAMINE
System and communications protection policy
procedures addressing collaborative computing
access control policy and procedures
information system design documentation
information system configuration settings and associated documentation
information system audit records
list of types of meetings and teleconferences requiring explicit indication of current participants
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel with responsibilities for managing collaborative computing devices
Assessment: TEST
Automated mechanisms supporting and/or implementing the capability to indicate participants on collaborative computing devices
References: None
SC-16 TRANSMISSION OF SECURITY ATTRIBUTES
Label: INSERT into sc-16
Parameter: sc-16_prm_1 organization-defined security attributes
Control
|
The information system associates sc-16_prm_1 INSERT into sc-16 [NO PARAMETER VALUE GIVEN] with information exchanged between information systems and between system components. |
Supplemental guidance
Security attributes can be explicitly or implicitly associated with the information contained in organizational information systems or system components.
Objectives
|
Determine if:
|
Assessment: EXAMINE
System and communications protection policy
procedures addressing transmission of security attributes
access control policy and procedures
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms supporting and/or implementing transmission of security attributes between information systems
Control enhancements
SC-16 (1) INTEGRITY VALIDATION
Control
|
The information system validates the integrity of transmitted security attributes. |
Supplemental guidance
This control enhancement ensures that the verification of the integrity of transmitted information includes security attributes.
Objective
|
Determine if the information system validates the integrity of transmitted security attributes. |
Assessment: EXAMINE
System and communications protection policy
procedures addressing transmission of security attributes
access control policy and procedures
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms supporting and/or implementing validation of the integrity of transmitted security attributes
References: None
SC-17 PUBLIC KEY INFRASTRUCTURE CERTIFICATES
Label: INSERT into sc-17
Parameter: sc-17_prm_1 organization-defined certificate policy
Control
|
The organization issues public key certificates under an sc-17_prm_1 INSERT into sc-17 [NO PARAMETER VALUE GIVEN] or obtains public key certificates from an approved service provider. |
Supplemental guidance
For all certificates, organizations manage information system trust stores to ensure only approved trust anchors are in the trust stores. This control addresses both certificates with visibility external to organizational information systems and certificates related to the internal operations of systems, for example, application-specific time services.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and communications protection policy
procedures addressing public key infrastructure certificates
public key certificate policy or policies
public key issuing process
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel with responsibilities for issuing public key certificates
service providers
Assessment: TEST
Automated mechanisms supporting and/or implementing the management of public key infrastructure certificates
References
SC-18 MOBILE CODE
Control
|
The organization:
|
Supplemental guidance
Decisions regarding the employment of mobile code within organizational information systems are based on the potential for the code to cause damage to the systems if used maliciously. Mobile code technologies include, for example, Java, JavaScript, ActiveX, Postscript, PDF, Shockwave movies, Flash animations, and VBScript. Usage restrictions and implementation guidance apply to both the selection and use of mobile code installed on servers and mobile code downloaded and executed on individual workstations and devices (e.g., smart phones). Mobile code policy and procedures address preventing the development, acquisition, or introduction of unacceptable mobile code within organizational information systems.
cf CM-2: BASELINE CONFIGURATION
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and communications protection policy
procedures addressing mobile code
mobile code usage restrictions, mobile code implementation policy and procedures
list of acceptable mobile code and mobile code technologies
list of unacceptable mobile code and mobile technologies
authorization records
information system monitoring records
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel with responsibilities for managing mobile code
Assessment: TEST
Organizational process for controlling, authorizing, monitoring, and restricting mobile code
automated mechanisms supporting and/or implementing the management of mobile code
automated mechanisms supporting and/or implementing the monitoring of mobile code
Control enhancements
SC-18 (1) IDENTIFY UNACCEPTABLE CODE / TAKE CORRECTIVE ACTIONS
Label: INSERT into sc-18..1.
Parameter: sc-18_prm_1 organization-defined unacceptable mobile code
Label: INSERT into sc-18..1.
Parameter: sc-18_prm_2 organization-defined corrective actions
Control
|
The information system identifies sc-18_prm_1 INSERT into sc-18..1. [NO PARAMETER VALUE GIVEN] and takes sc-18_prm_2 INSERT into sc-18..1. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Corrective actions when unacceptable mobile code is detected include, for example, blocking, quarantine, or alerting administrators. Blocking includes, for example, preventing transmission of word processing files with embedded macros when such macros have been defined to be unacceptable mobile code.
Objectives
|
Determine if:
|
Assessment: EXAMINE
System and communications protection policy
procedures addressing mobile code
mobile code usage restrictions, mobile code implementation policy and procedures
information system design documentation
information system configuration settings and associated documentation
list of unacceptable mobile code
list of corrective actions to be taken when unacceptable mobile code is identified
information system monitoring records
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developer
organizational personnel with responsibilities for managing mobile code
Assessment: TEST
Automated mechanisms supporting and/or implementing mobile code detection, inspection, and corrective capability
SC-18 (2) ACQUISITION / DEVELOPMENT / USE
Label: INSERT into sc-18..2.
Parameter: sc-18_prm_3 organization-defined mobile code requirements
Control
|
The organization ensures that the acquisition, development, and use of mobile code to be deployed in the information system meets sc-18_prm_3 INSERT into sc-18..2. [NO PARAMETER VALUE GIVEN] . |
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and communications protection policy
procedures addressing mobile code
mobile code requirements
mobile code usage restrictions, mobile code implementation policy and procedures
acquisition documentation
acquisition contracts for information system, system component, or information system service
system development life cycle documentation
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel with responsibilities for managing mobile code
organizational personnel with acquisition and contracting responsibilities
Assessment: TEST
Organizational processes for the acquisition, development, and use of mobile code
SC-18 (3) PREVENT DOWNLOADING / EXECUTION
Label: INSERT into sc-18..3.
Parameter: sc-18_prm_4 organization-defined unacceptable mobile code
Control
|
The information system prevents the download and execution of sc-18_prm_4 INSERT into sc-18..3. [NO PARAMETER VALUE GIVEN] . |
Objectives
|
Determine if:
|
Assessment: EXAMINE
System and communications protection policy
procedures addressing mobile code
mobile code usage restrictions, mobile code implementation policy and procedures
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developer
organizational personnel with responsibilities for managing mobile code
Assessment: TEST
Automated mechanisms preventing download and execution of unacceptable mobile code
SC-18 (4) PREVENT AUTOMATIC EXECUTION
Label: INSERT into sc-18..4.
Parameter: sc-18_prm_5 organization-defined software applications
Label: INSERT into sc-18..4.
Parameter: sc-18_prm_6 organization-defined actions
Control
|
The information system prevents the automatic execution of mobile code in sc-18_prm_5 INSERT into sc-18..4. [NO PARAMETER VALUE GIVEN] and enforces sc-18_prm_6 INSERT into sc-18..4. [NO PARAMETER VALUE GIVEN] prior to executing the code. |
Supplemental guidance
Actions enforced before executing mobile code, include, for example, prompting users prior to opening electronic mail attachments. Preventing automatic execution of mobile code includes, for example, disabling auto execute features on information system components employing portable storage devices such as Compact Disks (CDs), Digital Video Disks (DVDs), and Universal Serial Bus (USB) devices.
Objectives
|
Determine if:
|
Assessment: EXAMINE
System and communications protection policy
procedures addressing mobile code
mobile code usage restrictions
mobile code implementation policy and procedures
information system design documentation
information system configuration settings and associated documentation
list of software applications for which automatic execution of mobile code must be prohibited
list of actions required before execution of mobile code
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developer
organizational personnel with responsibilities for managing mobile code
Assessment: TEST
Automated mechanisms preventing automatic execution of unacceptable mobile code
automated mechanisms enforcing actions to be taken prior to the execution of the mobile code
SC-18 (5) ALLOW EXECUTION ONLY IN CONFINED ENVIRONMENTS
Control
|
The organization allows execution of permitted mobile code only in confined virtual machine environments. |
Objective
|
Determine if the organization allows execution of permitted mobile code only in confined virtual machine environments. |
Assessment: EXAMINE
System and communications protection policy
procedures addressing mobile code
mobile code usage allowances
mobile code usage restrictions
information system design documentation
information system configuration settings and associated documentation
list of confined virtual machine environments for which execution of organizationally-acceptable mobile code is allowed
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developer
organizational personnel with responsibilities for managing mobile code
Assessment: TEST
Automated mechanisms allowing execution of permitted mobile code in confined virtual machine environments
SC-19 VOICE OVER INTERNET PROTOCOL
Control
|
The organization:
|
Supplemental guidance
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and communications protection policy
procedures addressing VoIP
VoIP usage restrictions
VoIP implementation guidance
information system design documentation
information system configuration settings and associated documentation
information system monitoring records
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel with responsibilities for managing VoIP
Assessment: TEST
Organizational process for authorizing, monitoring, and controlling VoIP
automated mechanisms supporting and/or implementing authorizing, monitoring, and controlling VoIP
References
SC-20 SECURE NAME / ADDRESS RESOLUTION SERVICE (AUTHORITATIVE SOURCE)
Control
|
The information system:
|
Supplemental guidance
This control enables external clients including, for example, remote Internet clients, to obtain origin authentication and integrity verification assurances for the host/service name to network address resolution information obtained through the service. Information systems that provide name and address resolution services include, for example, domain name system (DNS) servers. Additional artifacts include, for example, DNS Security (DNSSEC) digital signatures and cryptographic keys. DNS resource records are examples of authoritative data. The means to indicate the security status of child zones includes, for example, the use of delegation signer resource records in the DNS. The DNS security controls reflect (and are referenced from) OMB Memorandum 08-23. Information systems that use technologies other than the DNS to map between host/service names and network addresses provide other means to assure the authenticity and integrity of response data.
cf SC-8: TRANSMISSION CONFIDENTIALITY AND INTEGRITY
cf SC-12: CRYPTOGRAPHIC KEY ESTABLISHMENT AND MANAGEMENT
cf SC-13: CRYPTOGRAPHIC PROTECTION
cf SC-21: SECURE NAME / ADDRESS RESOLUTION SERVICE (RECURSIVE OR CACHING RESOLVER)
cf SC-22: ARCHITECTURE AND PROVISIONING FOR NAME / ADDRESS RESOLUTION SERVICE
Objectives
|
Determine if the information system:
|
Assessment: EXAMINE
System and communications protection policy
procedures addressing secure name/address resolution service (authoritative source)
information system design documentation
information system configuration settings and associated documentation
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel with responsibilities for managing DNS
Assessment: TEST
Automated mechanisms supporting and/or implementing secure name/address resolution service
Control enhancements
SC-20 (1) CHILD SUBSPACES
cf SC-20: SECURE NAME / ADDRESS RESOLUTION SERVICE (AUTHORITATIVE SOURCE)
Control
|
Withdrawn: Incorporated into SC-20. |
SC-20 (2) DATA ORIGIN / INTEGRITY
Control
|
The information system provides data origin and integrity protection artifacts for internal name/address resolution queries. |
Objective
|
Determine if the information system provides data origin and integrity protection artifacts for internal name/address resolution queries. |
Assessment: EXAMINE
System and communications protection policy
procedures addressing secure name/address resolution service (authoritative source)
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel with responsibilities for managing DNS
Assessment: TEST
Automated mechanisms supporting and/or implementing data origin and integrity protection for internal name/address resolution service queries
SC-21 SECURE NAME / ADDRESS RESOLUTION SERVICE (RECURSIVE OR CACHING RESOLVER)
Control
|
The information system requests and performs data origin authentication and data integrity verification on the name/address resolution responses the system receives from authoritative sources. |
Supplemental guidance
Each client of name resolution services either performs this validation on its own, or has authenticated channels to trusted validation providers. Information systems that provide name and address resolution services for local clients include, for example, recursive resolving or caching domain name system (DNS) servers. DNS client resolvers either perform validation of DNSSEC signatures, or clients use authenticated channels to recursive resolvers that perform such validations. Information systems that use technologies other than the DNS to map between host/service names and network addresses provide other means to enable clients to verify the authenticity and integrity of response data.
cf SC-20: SECURE NAME / ADDRESS RESOLUTION SERVICE (AUTHORITATIVE SOURCE)
cf SC-22: ARCHITECTURE AND PROVISIONING FOR NAME / ADDRESS RESOLUTION SERVICE
Objectives
|
Determine if the information system:
|
Assessment: EXAMINE
System and communications protection policy
procedures addressing secure name/address resolution service (recursive or caching resolver)
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel with responsibilities for managing DNS
Assessment: TEST
Automated mechanisms supporting and/or implementing data origin authentication and data integrity verification for name/address resolution services
Control enhancements
SC-21 (1) DATA ORIGIN / INTEGRITY
cf SC-21: SECURE NAME / ADDRESS RESOLUTION SERVICE (RECURSIVE OR CACHING RESOLVER)
Control
|
Withdrawn: Incorporated into SC-21. |
References
SC-22 ARCHITECTURE AND PROVISIONING FOR NAME / ADDRESS RESOLUTION SERVICE
Control
|
The information systems that collectively provide name/address resolution service for an organization are fault-tolerant and implement internal/external role separation. |
Supplemental guidance
Information systems that provide name and address resolution services include, for example, domain name system (DNS) servers. To eliminate single points of failure and to enhance redundancy, organizations employ at least two authoritative domain name system servers, one configured as the primary server and the other configured as the secondary server. Additionally, organizations typically deploy the servers in two geographically separated network subnetworks (i.e., not located in the same physical facility). For role separation, DNS servers with internal roles only process name and address resolution requests from within organizations (i.e., from internal clients). DNS servers with external roles only process name and address resolution information requests from clients external to organizations (i.e., on external networks including the Internet). Organizations specify clients that can access authoritative DNS servers in particular roles (e.g., by address ranges, explicit lists).
cf SC-2: APPLICATION PARTITIONING
cf SC-20: SECURE NAME / ADDRESS RESOLUTION SERVICE (AUTHORITATIVE SOURCE)
cf SC-21: SECURE NAME / ADDRESS RESOLUTION SERVICE (RECURSIVE OR CACHING RESOLVER)
Objectives
|
Determine if the information systems that collectively provide name/address resolution service for an organization:
|
Assessment: EXAMINE
System and communications protection policy
procedures addressing architecture and provisioning for name/address resolution service
access control policy and procedures
information system design documentation
assessment results from independent, testing organizations
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel with responsibilities for managing DNS
Assessment: TEST
Automated mechanisms supporting and/or implementing name/address resolution service for fault tolerance and role separation
References
SC-23 SESSION AUTHENTICITY
Control
|
The information system protects the authenticity of communications sessions. |
Supplemental guidance
This control addresses communications protection at the session, versus packet level (e.g., sessions in service-oriented architectures providing web-based services) and establishes grounds for confidence at both ends of communications sessions in ongoing identities of other parties and in the validity of information transmitted. Authenticity protection includes, for example, protecting against man-in-the-middle attacks/session hijacking and the insertion of false information into sessions.
Objective
|
Determine if the information system protects the authenticity of communications sessions. |
Assessment: EXAMINE
System and communications protection policy
procedures addressing session authenticity
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms supporting and/or implementing session authenticity
Control enhancements
SC-23 (1) INVALIDATE SESSION IDENTIFIERS AT LOGOUT
Control
|
The information system invalidates session identifiers upon user logout or other session termination. |
Supplemental guidance
This control enhancement curtails the ability of adversaries from capturing and continuing to employ previously valid session IDs.
Objective
|
Determine if the information system invalidates session identifiers upon user logout or other session termination. |
Assessment: EXAMINE
System and communications protection policy
procedures addressing session authenticity
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms supporting and/or implementing session identifier invalidation upon session termination
SC-23 (2) USER-INITIATED LOGOUTS / MESSAGE DISPLAYS
cf AC-12 (1): USER-INITIATED LOGOUTS / MESSAGE DISPLAYS
Control
|
Withdrawn: Incorporated into AC-12 (1). |
SC-23 (3) UNIQUE SESSION IDENTIFIERS WITH RANDOMIZATION
Label: INSERT into sc-23..3.
Parameter: sc-23_prm_1 organization-defined randomness requirements
Control
|
The information system generates a unique session identifier for each session with sc-23_prm_1 INSERT into sc-23..3. [NO PARAMETER VALUE GIVEN] and recognizes only session identifiers that are system-generated. |
Supplemental guidance
This control enhancement curtails the ability of adversaries from reusing previously valid session IDs. Employing the concept of randomness in the generation of unique session identifiers helps to protect against brute-force attacks to determine future session identifiers.
Objectives
|
Determine if:
|
Assessment: EXAMINE
System and communications protection policy
procedures addressing session authenticity
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms supporting and/or implementing generating and monitoring unique session identifiers
automated mechanisms supporting and/or implementing randomness requirements
SC-23 (4) UNIQUE SESSION IDENTIFIERS WITH RANDOMIZATION
cf SC-23 (3): UNIQUE SESSION IDENTIFIERS WITH RANDOMIZATION
Control
|
Withdrawn: Incorporated into SC-23 (3). |
SC-23 (5) ALLOWED CERTIFICATE AUTHORITIES
Label: INSERT into sc-23..5.
Parameter: sc-23_prm_2 organization-defined certificate authorities
Control
|
The information system only allows the use of sc-23_prm_2 INSERT into sc-23..5. [NO PARAMETER VALUE GIVEN] for verification of the establishment of protected sessions. |
Supplemental guidance
Reliance on certificate authorities (CAs) for the establishment of secure sessions includes, for example, the use of Secure Socket Layer (SSL) and/or Transport Layer Security (TLS) certificates. These certificates, after verification by the respective certificate authorities, facilitate the establishment of protected sessions between web clients and web servers.
Objectives
|
Determine if:
|
Assessment: EXAMINE
System and communications protection policy
procedures addressing session authenticity
information system design documentation
information system configuration settings and associated documentation
list of certificate authorities allowed for verification of the establishment of protected sessions
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms supporting and/or implementing management of certificate authorities
SC-24 FAIL IN KNOWN STATE
Label: INSERT into sc-24
Parameter: sc-24_prm_1 organization-defined known-state
Label: INSERT into sc-24
Parameter: sc-24_prm_2 organization-defined types of failures
Label: INSERT into sc-24
Parameter: sc-24_prm_3 organization-defined system state information
Control
|
The information system fails to a sc-24_prm_1 INSERT into sc-24 [NO PARAMETER VALUE GIVEN] for sc-24_prm_2 INSERT into sc-24 [NO PARAMETER VALUE GIVEN] preserving sc-24_prm_3 INSERT into sc-24 [NO PARAMETER VALUE GIVEN] in failure. |
Supplemental guidance
Failure in a known state addresses security concerns in accordance with the mission/business needs of organizations. Failure in a known secure state helps to prevent the loss of confidentiality, integrity, or availability of information in the event of failures of organizational information systems or system components. Failure in a known safe state helps to prevent systems from failing to a state that may cause injury to individuals or destruction to property. Preserving information system state information facilitates system restart and return to the operational mode of organizations with less disruption of mission/business processes.
cf CP-10: INFORMATION SYSTEM RECOVERY AND RECONSTITUTION
cf SC-22: ARCHITECTURE AND PROVISIONING FOR NAME / ADDRESS RESOLUTION SERVICE
Objectives
|
Determine if:
|
Assessment: EXAMINE
System and communications protection policy
procedures addressing information system failure to known state
information system design documentation
information system configuration settings and associated documentation
list of failures requiring information system to fail in a known state
state information to be preserved in system failure
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developer
Assessment: TEST
Automated mechanisms supporting and/or implementing fail-in-known state capability
automated mechanisms preserving system state information in the event of a system failure
References: None
SC-25 THIN NODES
Label: INSERT into sc-25
Parameter: sc-25_prm_1 organization-defined information system components
Control
|
The organization employs sc-25_prm_1 INSERT into sc-25 [NO PARAMETER VALUE GIVEN] with minimal functionality and information storage. |
Supplemental guidance
The deployment of information system components with reduced/minimal functionality (e.g., diskless nodes and thin client technologies) reduces the need to secure every user endpoint, and may reduce the exposure of information, information systems, and services to cyber attacks.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and communications protection policy
procedures addressing use of thin nodes
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms supporting and/or implementing thin nodes
References: None
SC-26 HONEYPOTS
Control
|
The information system includes components specifically designed to be the target of malicious attacks for the purpose of detecting, deflecting, and analyzing such attacks. |
Supplemental guidance
A honeypot is set up as a decoy to attract adversaries and to deflect their attacks away from the operational systems supporting organizational missions/business function. Depending upon the specific usage of the honeypot, consultation with the Office of the General Counsel before deployment may be needed.
cf SC-30: CONCEALMENT AND MISDIRECTION
Objective
|
Determine if the information system includes components specifically designed to be the target of malicious attacks for the purpose of detecting, deflecting, and analyzing such attacks. |
Assessment: EXAMINE
System and communications protection policy
procedures addressing use of honeypots
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developer
Assessment: TEST
Automated mechanisms supporting and/or implementing honey pots
Control enhancements
SC-26 (1) DETECTION OF MALICIOUS CODE
Control
|
Withdrawn: Incorporated into SC-35. |
References: None
SC-27 PLATFORM-INDEPENDENT APPLICATIONS
Label: INSERT into sc-27
Parameter: sc-27_prm_1 organization-defined platform-independent applications
Control
|
The information system includes: sc-27_prm_1 INSERT into sc-27 [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Platforms are combinations of hardware and software used to run software applications. Platforms include: (i) operating systems; (ii) the underlying computer architectures, or (iii) both. Platform-independent applications are applications that run on multiple platforms. Such applications promote portability and reconstitution on different platforms, increasing the availability of critical functions within organizations while information systems with specific operating systems are under attack.
Objectives
|
Determine if:
|
Assessment: EXAMINE
System and communications protection policy
procedures addressing platform-independent applications
information system design documentation
information system configuration settings and associated documentation
list of platform-independent applications
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developer
Assessment: TEST
Automated mechanisms supporting and/or implementing platform-independent applications
References: None
SC-28 PROTECTION OF INFORMATION AT REST
Label: SELECT for { ancestor-or-self::*[@id][1]/@id }
confidentiality
integrity
Label: INSERT into sc-28
Parameter: sc-28_prm_2 organization-defined information at rest
Control
|
The information system protects the sc-28_prm_1 SELECT for { ancestor-or-self::*[@id][1]/@id } confidentiality integrity [NO PARAMETER VALUE GIVEN] of sc-28_prm_2 INSERT into sc-28 [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
This control addresses the confidentiality and integrity of information at rest and covers user information and system information. Information at rest refers to the state of information when it is located on storage devices as specific components of information systems. System-related information requiring protection includes, for example, configurations or rule sets for firewalls, gateways, intrusion detection/prevention systems, filtering routers, and authenticator content. Organizations may employ different mechanisms to achieve confidentiality and integrity protections, including the use of cryptographic mechanisms and file share scanning. Integrity protection can be achieved, for example, by implementing Write-Once-Read-Many (WORM) technologies. Organizations may also employ other security controls including, for example, secure off-line storage in lieu of online storage when adequate protection of information at rest cannot otherwise be achieved and/or continuous monitoring to identify malicious code at rest.
cf CA-7: CONTINUOUS MONITORING
cf CM-3: CONFIGURATION CHANGE CONTROL
cf CM-5: ACCESS RESTRICTIONS FOR CHANGE
cf CM-6: CONFIGURATION SETTINGS
cf PE-3: PHYSICAL ACCESS CONTROL
cf SC-8: TRANSMISSION CONFIDENTIALITY AND INTEGRITY
cf SC-13: CRYPTOGRAPHIC PROTECTION
Objectives
|
Determine if:
|
Assessment: EXAMINE
System and communications protection policy
procedures addressing protection of information at rest
information system design documentation
information system configuration settings and associated documentation
cryptographic mechanisms and associated configuration documentation
list of information at rest requiring confidentiality and integrity protections
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developer
Assessment: TEST
Automated mechanisms supporting and/or implementing confidentiality and integrity protections for information at rest
Control enhancements
SC-28 (1) CRYPTOGRAPHIC PROTECTION
Label: INSERT into sc-28..1.
Parameter: sc-28_prm_3 organization-defined information
Label: INSERT into sc-28..1.
Parameter: sc-28_prm_4 organization-defined information system components
Control
|
The information system implements cryptographic mechanisms to prevent unauthorized disclosure and modification of sc-28_prm_3 INSERT into sc-28..1. [NO PARAMETER VALUE GIVEN] on sc-28_prm_4 INSERT into sc-28..1. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Selection of cryptographic mechanisms is based on the need to protect the confidentiality and integrity of organizational information. The strength of mechanism is commensurate with the security category and/or classification of the information. This control enhancement applies to significant concentrations of digital media in organizational areas designated for media storage and also to limited quantities of media generally associated with information system components in operational environments (e.g., portable storage devices, mobile devices). Organizations have the flexibility to either encrypt all information on storage devices (i.e., full disk encryption) or encrypt specific data structures (e.g., files, records, or fields). Organizations employing cryptographic mechanisms to protect information at rest also consider cryptographic key management solutions.
Objectives
|
Determine if:
|
Assessment: EXAMINE
System and communications protection policy
procedures addressing protection of information at rest
information system design documentation
information system configuration settings and associated documentation
cryptographic mechanisms and associated configuration documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developer
Assessment: TEST
Cryptographic mechanisms implementing confidentiality and integrity protections for information at rest
SC-28 (2) OFF-LINE STORAGE
Label: INSERT into sc-28..2.
Parameter: sc-28_prm_5 organization-defined information
Control
|
The organization removes from online storage and stores off-line in a secure location sc-28_prm_5 INSERT into sc-28..2. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Removing organizational information from online information system storage to off-line storage eliminates the possibility of individuals gaining unauthorized access to the information through a network. Therefore, organizations may choose to move information to off-line storage in lieu of protecting such information in online storage.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and communications protection policy
procedures addressing protection of information at rest
information system design documentation
information system configuration settings and associated documentation
cryptographic mechanisms and associated configuration documentation
off-line storage locations for information at rest
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms supporting and/or implementing removal of information from online storage
automated mechanisms supporting and/or implementing storage of information off-line
SC-29 HETEROGENEITY
Label: INSERT into sc-29
Parameter: sc-29_prm_1 organization-defined information system components
Control
|
The organization employs a diverse set of information technologies for sc-29_prm_1 INSERT into sc-29 [NO PARAMETER VALUE GIVEN] in the implementation of the information system. |
Supplemental guidance
Increasing the diversity of information technologies within organizational information systems reduces the impact of potential exploitations of specific technologies and also defends against common mode failures, including those failures induced by supply chain attacks. Diversity in information technologies also reduces the likelihood that the means adversaries use to compromise one information system component will be equally effective against other system components, thus further increasing the adversary work factor to successfully complete planned cyber attacks. An increase in diversity may add complexity and management overhead which could ultimately lead to mistakes and unauthorized configurations.
cf SA-12: SUPPLY CHAIN PROTECTION
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and communications protection policy
information system design documentation
information system configuration settings and associated documentation
list of technologies deployed in the information system
acquisition documentation
acquisition contracts for information system components or services
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel with information system acquisition, development, and implementation responsibilities
Assessment: TEST
Automated mechanisms supporting and/or implementing employment of a diverse set of information technologies
Control enhancements
SC-29 (1) VIRTUALIZATION TECHNIQUES
Label: INSERT into sc-29..1.
Parameter: sc-29_prm_2 organization-defined frequency
Control
|
The organization employs virtualization techniques to support the deployment of a diversity of operating systems and applications that are changed sc-29_prm_2 INSERT into sc-29..1. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
While frequent changes to operating systems and applications pose configuration management challenges, the changes can result in an increased work factor for adversaries in order to carry out successful cyber attacks. Changing virtual operating systems or applications, as opposed to changing actual operating systems/applications, provide virtual changes that impede attacker success while reducing configuration management efforts. In addition, virtualization techniques can assist organizations in isolating untrustworthy software and/or software of dubious provenance into confined execution environments.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and communications protection policy
configuration management policy and procedures
information system design documentation
information system configuration settings and associated documentation
information system architecture
list of operating systems and applications deployed using virtualization techniques
change control records
configuration management records
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel with responsibilities for implementing approved virtualization techniques to the information system
Assessment: TEST
Automated mechanisms supporting and/or implementing employment of a diverse set of information technologies
automated mechanisms supporting and/or implementing virtualization techniques
References: None
SC-30 CONCEALMENT AND MISDIRECTION
Label: INSERT into sc-30
Parameter: sc-30_prm_1 organization-defined concealment and misdirection techniques
Label: INSERT into sc-30
Parameter: sc-30_prm_2 organization-defined information systems
Label: INSERT into sc-30
Parameter: sc-30_prm_3 organization-defined time periods
Control
|
The organization employs sc-30_prm_1 INSERT into sc-30 [NO PARAMETER VALUE GIVEN] for sc-30_prm_2 INSERT into sc-30 [NO PARAMETER VALUE GIVEN] at sc-30_prm_3 INSERT into sc-30 [NO PARAMETER VALUE GIVEN] to confuse and mislead adversaries. |
Supplemental guidance
Concealment and misdirection techniques can significantly reduce the targeting capability of adversaries (i.e., window of opportunity and available attack surface) to initiate and complete cyber attacks. For example, virtualization techniques provide organizations with the ability to disguise information systems, potentially reducing the likelihood of successful attacks without the cost of having multiple platforms. Increased use of concealment/misdirection techniques including, for example, randomness, uncertainty, and virtualization, may sufficiently confuse and mislead adversaries and subsequently increase the risk of discovery and/or exposing tradecraft. Concealment/misdirection techniques may also provide organizations additional time to successfully perform core missions and business functions. Because of the time and effort required to support concealment/misdirection techniques, it is anticipated that such techniques would be used by organizations on a very limited basis.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and communications protection policy
procedures addressing concealment and misdirection techniques for the information system
information system design documentation
information system configuration settings and associated documentation
information system architecture
list of concealment and misdirection techniques to be employed for organizational information systems
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel with responsibility for implementing concealment and misdirection techniques for information systems
Assessment: TEST
Automated mechanisms supporting and/or implementing concealment and misdirection techniques
Control enhancements
SC-30 (1) VIRTUALIZATION TECHNIQUES
cf SC-29 (1): VIRTUALIZATION TECHNIQUES
Control
|
Withdrawn: Incorporated into SC-29 (1). |
SC-30 (2) RANDOMNESS
Label: INSERT into sc-30..2.
Parameter: sc-30_prm_4 organization-defined techniques
Control
|
The organization employs sc-30_prm_4 INSERT into sc-30..2. [NO PARAMETER VALUE GIVEN] to introduce randomness into organizational operations and assets. |
Supplemental guidance
Randomness introduces increased levels of uncertainty for adversaries regarding the actions organizations take in defending against cyber attacks. Such actions may impede the ability of adversaries to correctly target information resources of organizations supporting critical missions/business functions. Uncertainty may also cause adversaries to hesitate before initiating or continuing attacks. Misdirection techniques involving randomness include, for example, performing certain routine actions at different times of day, employing different information technologies (e.g., browsers, search engines), using different suppliers, and rotating roles and responsibilities of organizational personnel.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and communications protection policy
procedures addressing concealment and misdirection techniques for the information system
information system design documentation
information system configuration settings and associated documentation
information system architecture
list of techniques to be employed to introduce randomness into organizational operations and assets
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel with responsibility for implementing concealment and misdirection techniques for information systems
Assessment: TEST
Automated mechanisms supporting and/or implementing randomness as a concealment and misdirection technique
SC-30 (3) CHANGE PROCESSING / STORAGE LOCATIONS
Label: INSERT into sc-30..3.
Parameter: sc-30_prm_5 organization-defined processing and/or storage
Label: SELECT for { ancestor-or-self::*[@id][1]/@id }
sc-30_prm_7 INSERT into sc-30..3. [NO PARAMETER VALUE GIVEN]
at random time intervals
Label: INSERT into sc-30..3.
Parameter: sc-30_prm_7 organization-defined time frequency
Control
|
The organization changes the location of sc-30_prm_5 INSERT into sc-30..3. [NO PARAMETER VALUE GIVEN] sc-30_prm_6 SELECT for { ancestor-or-self::*[@id][1]/@id } at random time intervals [NO PARAMETER VALUE GIVEN] ]. |
Supplemental guidance
Adversaries target critical organizational missions/business functions and the information resources supporting those missions and functions while at the same time, trying to minimize exposure of their existence and tradecraft. The static, homogeneous, and deterministic nature of organizational information systems targeted by adversaries, make such systems more susceptible to cyber attacks with less adversary cost and effort to be successful. Changing organizational processing and storage locations (sometimes referred to as moving target defense) addresses the advanced persistent threat (APT) using techniques such as virtualization, distributed processing, and replication. This enables organizations to relocate the information resources (i.e., processing and/or storage) supporting critical missions and business functions. Changing locations of processing activities and/or storage sites introduces uncertainty into the targeting activities by adversaries. This uncertainty increases the work factor of adversaries making compromises or breaches to organizational information systems much more difficult and time-consuming, and increases the chances that adversaries may inadvertently disclose aspects of tradecraft while attempting to locate critical organizational resources.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and communications protection policy
configuration management policy and procedures
procedures addressing concealment and misdirection techniques for the information system
list of processing/storage locations to be changed at organizational time intervals
change control records
configuration management records
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel with responsibility for changing processing and/or storage locations
Assessment: TEST
Automated mechanisms supporting and/or implementing changing processing and/or storage locations
SC-30 (4) MISLEADING INFORMATION
Label: INSERT into sc-30..4.
Parameter: sc-30_prm_8 organization-defined information system components
Control
|
The organization employs realistic, but misleading information in sc-30_prm_8 INSERT into sc-30..4. [NO PARAMETER VALUE GIVEN] with regard to its security state or posture. |
Supplemental guidance
This control enhancement misleads potential adversaries regarding the nature and extent of security safeguards deployed by organizations. As a result, adversaries may employ incorrect (and as a result ineffective) attack techniques. One way of misleading adversaries is for organizations to place misleading information regarding the specific security controls deployed in external information systems that are known to be accessed or targeted by adversaries. Another technique is the use of deception nets (e.g., honeynets, virtualized environments) that mimic actual aspects of organizational information systems but use, for example, out-of-date software configurations.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and communications protection policy
configuration management policy and procedures
procedures addressing concealment and misdirection techniques for the information system
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel with responsibility for defining and employing realistic, but misleading information about the security posture of information system components
Assessment: TEST
Automated mechanisms supporting and/or implementing employment of realistic, but misleading information about the security posture of information system components
SC-30 (5) CONCEALMENT OF SYSTEM COMPONENTS
Label: INSERT into sc-30..5.
Parameter: sc-30_prm_9 organization-defined techniques
Label: INSERT into sc-30..5.
Parameter: sc-30_prm_10 organization-defined information system components
Control
|
The organization employs sc-30_prm_9 INSERT into sc-30..5. [NO PARAMETER VALUE GIVEN] to hide or conceal sc-30_prm_10 INSERT into sc-30..5. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
By hiding, disguising, or otherwise concealing critical information system components, organizations may be able to decrease the probability that adversaries target and successfully compromise those assets. Potential means for organizations to hide and/or conceal information system components include, for example, configuration of routers or the use of honeynets or virtualization techniques.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and communications protection policy
configuration management policy and procedures
procedures addressing concealment and misdirection techniques for the information system
information system design documentation
information system configuration settings and associated documentation
list of techniques employed to hide or conceal information system components
list of information system components to be hidden or concealed
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel with responsibility for concealment of system components
Assessment: TEST
Automated mechanisms supporting and/or implementing techniques for concealment of system components
References: None
SC-31 COVERT CHANNEL ANALYSIS
Label: SELECT for { ancestor-or-self::*[@id][1]/@id }
Parameter: sc-31_prm_1 Insertion into SC-31a.
storage
timing
Control
|
The organization:
|
Supplemental guidance
Developers are in the best position to identify potential areas within systems that might lead to covert channels. Covert channel analysis is a meaningful activity when there is the potential for unauthorized information flows across security domains, for example, in the case of information systems containing export-controlled information and having connections to external networks (i.e., networks not controlled by organizations). Covert channel analysis is also meaningful for multilevel secure (MLS) information systems, multiple security level (MSL) systems, and cross-domain systems.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and communications protection policy
procedures addressing covert channel analysis
information system design documentation
information system configuration settings and associated documentation
covert channel analysis documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel with covert channel analysis responsibilities
information system developers/integrators
Assessment: TEST
Organizational process for conducting covert channel analysis
automated mechanisms supporting and/or implementing covert channel analysis
automated mechanisms supporting and/or implementing the capability to estimate the bandwidth of covert channels
Control enhancements
SC-31 (1) TEST COVERT CHANNELS FOR EXPLOITABILITY
Control
|
The organization tests a subset of the identified covert channels to determine which channels are exploitable. |
Objective
|
Determine if the organization tests a subset of identified covert channels to determine which channels are exploitable. |
Assessment: EXAMINE
System and communications protection policy
procedures addressing covert channel analysis
information system design documentation
information system configuration settings and associated documentation
list of covert channels
covert channel analysis documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel with covert channel analysis responsibilities
Assessment: TEST
Organizational process for testing covert channels
automated mechanisms supporting and/or implementing testing of covert channels analysis
SC-31 (2) MAXIMUM BANDWIDTH
Label: SELECT for { ancestor-or-self::*[@id][1]/@id }
storage
timing
Label: INSERT into sc-31..2.
Parameter: sc-31_prm_3 organization-defined values
Control
|
The organization reduces the maximum bandwidth for identified covert sc-31_prm_2 SELECT for { ancestor-or-self::*[@id][1]/@id } storage timing [NO PARAMETER VALUE GIVEN] channels to sc-31_prm_3 INSERT into sc-31..2. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Information system developers are in the best position to reduce the maximum bandwidth for identified covert storage and timing channels.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and communications protection policy
procedures addressing covert channel analysis
acquisition contracts for information systems or services
acquisition documentation
information system design documentation
information system configuration settings and associated documentation
covert channel analysis documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel with covert channel analysis responsibilities
information system developers/integrators
Assessment: TEST
Organizational process for conducting covert channel analysis
automated mechanisms supporting and/or implementing covert channel analysis
automated mechanisms supporting and/or implementing the capability to reduce the bandwidth of covert channels
SC-31 (3) MEASURE BANDWIDTH IN OPERATIONAL ENVIRONMENTS
Label: INSERT into sc-31..3.
Parameter: sc-31_prm_4 organization-defined subset of identified covert channels
Control
|
The organization measures the bandwidth of sc-31_prm_4 INSERT into sc-31..3. [NO PARAMETER VALUE GIVEN] in the operational environment of the information system. |
Supplemental guidance
This control enhancement addresses covert channel bandwidth in operational environments versus developmental environments. Measuring covert channel bandwidth in operational environments helps organizations to determine how much information can be covertly leaked before such leakage adversely affects organizational missions/business functions. Covert channel bandwidth may be significantly different when measured in those settings that are independent of the particular environments of operation (e.g., laboratories or development environments).
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and communications protection policy
procedures addressing covert channel analysis
information system design documentation
information system configuration settings and associated documentation
covert channel analysis documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel with covert channel analysis responsibilities
information system developers/integrators
Assessment: TEST
Organizational process for conducting covert channel analysis
automated mechanisms supporting and/or implementing covert channel analysis
automated mechanisms supporting and/or implementing the capability to measure the bandwidth of covert channels
References: None
SC-32 INFORMATION SYSTEM PARTITIONING
Label: INSERT into sc-32
Parameter: sc-32_prm_1 organization-defined information system components
Label: INSERT into sc-32
Parameter: sc-32_prm_2 organization-defined circumstances for physical separation of components
Control
|
The organization partitions the information system into sc-32_prm_1 INSERT into sc-32 [NO PARAMETER VALUE GIVEN] residing in separate physical domains or environments based on sc-32_prm_2 INSERT into sc-32 [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Information system partitioning is a part of a defense-in-depth protection strategy. Organizations determine the degree of physical separation of system components from physically distinct components in separate racks in the same room, to components in separate rooms for the more critical components, to more significant geographical separation of the most critical components. Security categorization can guide the selection of appropriate candidates for domain partitioning. Managed interfaces restrict or prohibit network access and information flow among partitioned information system components.
cf AC-4: INFORMATION FLOW ENFORCEMENT
cf SA-8: SECURITY ENGINEERING PRINCIPLES
cf SC-2: APPLICATION PARTITIONING
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and communications protection policy
procedures addressing information system partitioning
information system design documentation
information system configuration settings and associated documentation
information system architecture
list of information system physical domains (or environments)
information system facility diagrams
information system network diagrams
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel installing, configuring, and/or maintaining the information system
information system developers/integrators
Assessment: TEST
Automated mechanisms supporting and/or implementing physical separation of information system components
References
SC-33 TRANSMISSION PREPARATION INTEGRITY
cf SC-8: TRANSMISSION CONFIDENTIALITY AND INTEGRITY
Control
|
Withdrawn: Incorporated into SC-8. |
References: None
SC-34 NON-MODIFIABLE EXECUTABLE PROGRAMS
Label: INSERT into sc-34
Parameter: sc-34_prm_1 organization-defined information system components
Label: INSERT into sc-34_smt_b (SC-34b.)
Parameter: sc-34_prm_2 organization-defined applications
Control
|
The information system at sc-34_prm_1 INSERT into sc-34 [NO PARAMETER VALUE GIVEN] :
|
Supplemental guidance
The term operating environment is defined as the specific code that hosts applications, for example, operating systems, executives, or monitors including virtual machine monitors (i.e., hypervisors). It can also include certain applications running directly on hardware platforms. Hardware-enforced, read-only media include, for example, Compact Disk-Recordable (CD-R)/Digital Video Disk-Recordable (DVD-R) disk drives and one-time programmable read-only memory. The use of non-modifiable storage ensures the integrity of software from the point of creation of the read-only image. The use of reprogrammable read-only memory can be accepted as read-only media provided: (i) integrity can be adequately protected from the point of initial writing to the insertion of the memory into the information system; and (ii) there are reliable hardware protections against reprogramming the memory while installed in organizational information systems.
Objectives
|
Determine if:
|
Assessment: EXAMINE
System and communications protection policy
procedures addressing non-modifiable executable programs
information system design documentation
information system configuration settings and associated documentation
information system architecture
list of operating system components to be loaded from hardware-enforced, read-only media
list of applications to be loaded from hardware-enforced, read-only media
media used to load and execute information system operating environment
media used to load and execute information system applications
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developer
organizational personnel installing, configuring, and/or maintaining the information system
information system developers/integrators
Assessment: TEST
Automated mechanisms supporting and/or implementing loading and executing the operating environment from hardware-enforced, read-only media
automated mechanisms supporting and/or implementing loading and executing applications from hardware-enforced, read-only media
Control enhancements
SC-34 (1) NO WRITABLE STORAGE
Label: INSERT into sc-34..1.
Parameter: sc-34_prm_3 organization-defined information system components
Control
|
The organization employs sc-34_prm_3 INSERT into sc-34..1. [NO PARAMETER VALUE GIVEN] with no writeable storage that is persistent across component restart or power on/off. |
Supplemental guidance
This control enhancement: (i) eliminates the possibility of malicious code insertion via persistent, writeable storage within the designated information system components; and (ii) applies to both fixed and removable storage, with the latter being addressed directly or as specific restrictions imposed through access controls for mobile devices.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and communications protection policy
procedures addressing non-modifiable executable programs
information system design documentation
information system configuration settings and associated documentation
information system architecture
list of information system components to be employed without writeable storage capability
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel installing, configuring, and/or maintaining the information system
information system developers/integrators
Assessment: TEST
Automated mechanisms supporting and/or implementing employment of components with no writeable storage
automated mechanisms supporting and/or implementing persistent non-writeable storage across component restart and power on/off
SC-34 (2) INTEGRITY PROTECTION / READ-ONLY MEDIA
Control
|
The organization protects the integrity of information prior to storage on read-only media and controls the media after such information has been recorded onto the media. |
Supplemental guidance
Security safeguards prevent the substitution of media into information systems or the reprogramming of programmable read-only media prior to installation into the systems. Security safeguards include, for example, a combination of prevention, detection, and response.
cf CM-3: CONFIGURATION CHANGE CONTROL
cf CM-5: ACCESS RESTRICTIONS FOR CHANGE
cf CM-9: CONFIGURATION MANAGEMENT PLAN
cf SA-12: SUPPLY CHAIN PROTECTION
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and communications protection policy
procedures addressing non-modifiable executable programs
information system design documentation
information system configuration settings and associated documentation
information system architecture
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel installing, configuring, and/or maintaining the information system
information system developers/integrators
Assessment: TEST
Automated mechanisms supporting and/or implementing capability for protecting information integrity on read-only media prior to storage and after information has been recorded onto the media
SC-34 (3) HARDWARE-BASED PROTECTION
Label: INSERT into sc-34..3._smt_a (SC-34 (3)(a))
Parameter: sc-34_prm_4 organization-defined information system firmware components
Label: INSERT into sc-34..3._smt_b (SC-34 (3)(b))
Parameter: sc-34_prm_5 organization-defined authorized individuals
Control
|
The organization:
|
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and communications protection policy
procedures addressing firmware modifications
information system design documentation
information system configuration settings and associated documentation
information system architecture
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel installing, configuring, and/or maintaining the information system
information system developers/integrators
Assessment: TEST
Organizational processes for modifying firmware
automated mechanisms supporting and/or implementing hardware-based, write-protection for firmware
References: None
SC-35 HONEYCLIENTS
Control
|
The information system includes components that proactively seek to identify malicious websites and/or web-based malicious code. |
Supplemental guidance
Honeyclients differ from honeypots in that the components actively probe the Internet in search of malicious code (e.g., worms) contained on external websites. As with honeypots, honeyclients require some supporting isolation measures (e.g., virtualization) to ensure that any malicious code discovered during the search and subsequently executed does not infect organizational information systems.
Objective
|
Determine if the information system includes components that proactively seek to identify malicious websites and/or web-based malicious code. |
Assessment: EXAMINE
System and communications protection policy
procedures addressing honeyclients
information system design documentation
information system configuration settings and associated documentation
information system components deployed to identify malicious websites and/or web-based malicious code
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developer
organizational personnel installing, configuring, and/or maintaining the information system
information system developers/integrators
Assessment: TEST
Automated mechanisms supporting and/or implementing honeyclients
References: None
SC-36 DISTRIBUTED PROCESSING AND STORAGE
Label: INSERT into sc-36
Parameter: sc-36_prm_1 organization-defined processing and storage
Control
|
The organization distributes sc-36_prm_1 INSERT into sc-36 [NO PARAMETER VALUE GIVEN] across multiple physical locations. |
Supplemental guidance
Distributing processing and storage across multiple physical locations provides some degree of redundancy or overlap for organizations, and therefore increases the work factor of adversaries to adversely impact organizational operations, assets, and individuals. This control does not assume a single primary processing or storage location, and thus allows for parallel processing and storage.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and communications protection policy
contingency planning policy and procedures
contingency plan
information system design documentation
information system configuration settings and associated documentation
information system architecture
list of information system physical locations (or environments) with distributed processing and storage
information system facility diagrams
processing site agreements
storage site agreements
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel installing, configuring, and/or maintaining the information system
organizational personnel with contingency planning and plan implementation responsibilities
information system developers/integrators
Assessment: TEST
Organizational processes for distributing processing and storage across multiple physical locations
automated mechanisms supporting and/or implementing capability for distributing processing and storage across multiple physical locations
Control enhancements
SC-36 (1) POLLING TECHNIQUES
Label: INSERT into sc-36..1.
Parameter: sc-36_prm_2 organization-defined distributed processing and storage components
Control
|
The organization employs polling techniques to identify potential faults, errors, or compromises to sc-36_prm_2 INSERT into sc-36..1. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Distributed processing and/or storage may be employed to reduce opportunities for adversaries to successfully compromise the confidentiality, integrity, or availability of information and information systems. However, distribution of processing and/or storage components does not prevent adversaries from compromising one (or more) of the distributed components. Polling compares the processing results and/or storage content from the various distributed components and subsequently voting on the outcomes. Polling identifies potential faults, errors, or compromises in distributed processing and/or storage components.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and communications protection policy
information system design documentation
information system configuration settings and associated documentation
information system architecture
list of distributed processing and storage components subject to polling
information system polling techniques and associated documentation or records
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel installing, configuring, and/or maintaining the information system
information system developers/integrators
Assessment: TEST
Automated mechanisms supporting and/or implementing polling techniques
References: None
SC-37 OUT-OF-BAND CHANNELS
Label: INSERT into sc-37
Parameter: sc-37_prm_1 organization-defined out-of-band channels
Label: INSERT into sc-37
Parameter: sc-37_prm_2 organization-defined information, information system components, or devices
Label: INSERT into sc-37
Parameter: sc-37_prm_3 organization-defined individuals or information systems
Control
|
The organization employs sc-37_prm_1 INSERT into sc-37 [NO PARAMETER VALUE GIVEN] for the physical delivery or electronic transmission of sc-37_prm_2 INSERT into sc-37 [NO PARAMETER VALUE GIVEN] to sc-37_prm_3 INSERT into sc-37 [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Out-of-band channels include, for example, local (nonnetwork) accesses to information systems, network paths physically separate from network paths used for operational traffic, or nonelectronic paths such as the US Postal Service. This is in contrast with using the same channels (i.e., in-band channels) that carry routine operational traffic. Out-of-band channels do not have the same vulnerability/exposure as in-band channels, and hence the confidentiality, integrity, or availability compromises of in-band channels will not compromise the out-of-band channels. Organizations may employ out-of-band channels in the delivery or transmission of many organizational items including, for example, identifiers/authenticators, configuration management changes for hardware, firmware, or software, cryptographic key management information, security updates, system/data backups, maintenance information, and malicious code protection updates.
cf CM-3: CONFIGURATION CHANGE CONTROL
cf CM-5: ACCESS RESTRICTIONS FOR CHANGE
cf IA-4: IDENTIFIER MANAGEMENT
cf IA-5: AUTHENTICATOR MANAGEMENT
cf SC-12: CRYPTOGRAPHIC KEY ESTABLISHMENT AND MANAGEMENT
cf SI-3: MALICIOUS CODE PROTECTION
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and communications protection policy
procedures addressing use of out-of-band channels
access control policy and procedures
identification and authentication policy and procedures
information system design documentation
information system architecture
information system configuration settings and associated documentation
list of out-of-band channels
types of information, information system components, or devices requiring use of out-of-band channels for physical delivery or electronic transmission to authorized individuals or information systems
physical delivery records
electronic transmission records
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel installing, configuring, and/or maintaining the information system
organizational personnel authorizing, installing, configuring, operating, and/or using out-of-band channels
information system developers/integrators
Assessment: TEST
Organizational processes for use of out-of-band channels
automated mechanisms supporting and/or implementing use of out-of-band channels
Control enhancements
SC-37 (1) ENSURE DELIVERY / TRANSMISSION
Label: INSERT into sc-37..1.
Parameter: sc-37_prm_4 organization-defined security safeguards
Label: INSERT into sc-37..1.
Parameter: sc-37_prm_5 organization-defined individuals or information systems
Label: INSERT into sc-37..1.
Parameter: sc-37_prm_6 organization-defined information, information system components, or devices
Control
|
The organization employs sc-37_prm_4 INSERT into sc-37..1. [NO PARAMETER VALUE GIVEN] to ensure that only sc-37_prm_5 INSERT into sc-37..1. [NO PARAMETER VALUE GIVEN] receive the sc-37_prm_6 INSERT into sc-37..1. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Techniques and/or methods employed by organizations to ensure that only designated information systems or individuals receive particular information, system components, or devices include, for example, sending authenticators via courier service but requiring recipients to show some form of government-issued photographic identification as a condition of receipt.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and communications protection policy
procedures addressing use of out-of-band channels
access control policy and procedures
identification and authentication policy and procedures
information system design documentation
information system architecture
information system configuration settings and associated documentation
list of security safeguards to be employed to ensure designated individuals or information systems receive organization-defined information, information system components, or devices
list of security safeguards for delivering designated information, information system components, or devices to designated individuals or information systems
list of information, information system components, or devices to be delivered to designated individuals or information systems
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel installing, configuring, and/or maintaining the information system
organizational personnel authorizing, installing, configuring, operating, and/or using out-of-band channels
information system developers/integrators
Assessment: TEST
Organizational processes for use of out-of-band channels
automated mechanisms supporting and/or implementing use of out-of-band channels
automated mechanisms supporting/implementing safeguards to ensure delivery of designated information, system components, or devices
References: None
SC-38 OPERATIONS SECURITY
Label: INSERT into sc-38
Parameter: sc-38_prm_1 organization-defined operations security safeguards
Control
|
The organization employs sc-38_prm_1 INSERT into sc-38 [NO PARAMETER VALUE GIVEN] to protect key organizational information throughout the system development life cycle. |
Supplemental guidance
Operations security (OPSEC) is a systematic process by which potential adversaries can be denied information about the capabilities and intentions of organizations by identifying, controlling, and protecting generally unclassified information that specifically relates to the planning and execution of sensitive organizational activities. The OPSEC process involves five steps: (i) identification of critical information (e.g., the security categorization process); (ii) analysis of threats; (iii) analysis of vulnerabilities; (iv) assessment of risks; and (v) the application of appropriate countermeasures. OPSEC safeguards are applied to both organizational information systems and the environments in which those systems operate. OPSEC safeguards help to protect the confidentiality of key information including, for example, limiting the sharing of information with suppliers and potential suppliers of information system components, information technology products and services, and with other non-organizational elements and individuals. Information critical to mission/business success includes, for example, user identities, element uses, suppliers, supply chain processes, functional and security requirements, system design specifications, testing protocols, and security control implementation details.
cf RA-2: SECURITY CATEGORIZATION
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and communications protection policy
procedures addressing operations security
security plan
list of operations security safeguards
security control assessments
risk assessments
threat and vulnerability assessments
plans of action and milestones
system development life cycle documentation
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel installing, configuring, and/or maintaining the information system
information system developers/integrators
Assessment: TEST
Organizational processes for protecting organizational information throughout the SDLC
automated mechanisms supporting and/or implementing safeguards to protect organizational information throughout the SDLC
References: None
SC-39 PROCESS ISOLATION
Control
|
The information system maintains a separate execution domain for each executing process. |
Supplemental guidance
Information systems can maintain separate execution domains for each executing process by assigning each process a separate address space. Each information system process has a distinct address space so that communication between processes is performed in a manner controlled through the security functions, and one process cannot modify the executing code of another process. Maintaining separate execution domains for executing processes can be achieved, for example, by implementing separate address spaces. This capability is available in most commercial operating systems that employ multi-state processor technologies.
cf AC-4: INFORMATION FLOW ENFORCEMENT
cf SA-5: INFORMATION SYSTEM DOCUMENTATION
cf SA-8: SECURITY ENGINEERING PRINCIPLES
Objective
|
Determine if the information system maintains a separate execution domain for each executing process. |
Assessment: EXAMINE
Information system design documentation
information system architecture
independent verification and validation documentation
testing and evaluation documentation, other relevant documents or records
Assessment: INTERVIEW
Information system developers/integrators
information system security architect
Assessment: TEST
Automated mechanisms supporting and/or implementing separate execution domains for each executing process
Control enhancements
SC-39 (1) HARDWARE SEPARATION
Control
|
The information system implements underlying hardware separation mechanisms to facilitate process separation. |
Supplemental guidance
Hardware-based separation of information system processes is generally less susceptible to compromise than software-based separation, thus providing greater assurance that the separation will be enforced. Underlying hardware separation mechanisms include, for example, hardware memory management.
Objective
|
Determine if the information system implements underlying hardware separation mechanisms to facilitate process separation. |
Assessment: EXAMINE
System and communications protection policy
information system design documentation
information system configuration settings and associated documentation
information system architecture
information system documentation for hardware separation mechanisms
information system documentation from vendors, manufacturers or developers
independent verification and validation documentation
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developer
organizational personnel installing, configuring, and/or maintaining the information system
information system developers/integrators
Assessment: TEST
Information system capability implementing underlying hardware separation mechanisms for process separation
SC-39 (2) THREAD ISOLATION
Label: INSERT into sc-39..2.
Parameter: sc-39_prm_1 organization-defined multi-threaded processing
Control
|
The information system maintains a separate execution domain for each thread in sc-39_prm_1 INSERT into sc-39..2. [NO PARAMETER VALUE GIVEN] . |
Objectives
|
Determine if the information system:
|
Assessment: EXAMINE
System and communications protection policy
information system design documentation
information system configuration settings and associated documentation
information system architecture
list of information system execution domains for each thread in multi-threaded processing
information system documentation for multi-threaded processing
information system documentation from vendors, manufacturers or developers
independent verification and validation documentation
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developer
organizational personnel installing, configuring, and/or maintaining the information system
information system developers/integrators
Assessment: TEST
Information system capability implementing a separate execution domain for each thread in multi-threaded processing
References: None
SC-40 WIRELESS LINK PROTECTION
Label: INSERT into sc-40
Parameter: sc-40_prm_1 organization-defined wireless links
Label: INSERT into sc-40
Parameter: sc-40_prm_2 organization-defined types of signal parameter attacks or references to sources for such attacks
Control
|
The information system protects external and internal sc-40_prm_1 INSERT into sc-40 [NO PARAMETER VALUE GIVEN] from sc-40_prm_2 INSERT into sc-40 [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
This control applies to internal and external wireless communication links that may be visible to individuals who are not authorized information system users. Adversaries can exploit the signal parameters of wireless links if such links are not adequately protected. There are many ways to exploit the signal parameters of wireless links to gain intelligence, deny service, or to spoof users of organizational information systems. This control reduces the impact of attacks that are unique to wireless systems. If organizations rely on commercial service providers for transmission services as commodity items rather than as fully dedicated services, it may not be possible to implement this control.
Objectives
|
Determine if:
|
Assessment: EXAMINE
System and communications protection policy
access control policy and procedures
procedures addressing wireless link protection
information system design documentation
wireless network diagrams
information system configuration settings and associated documentation
information system architecture
list or internal and external wireless links
list of signal parameter attacks or references to sources for attacks
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developer
organizational personnel installing, configuring, and/or maintaining the information system
organizational personnel authorizing, installing, configuring and/or maintaining internal and external wireless links
Assessment: TEST
Automated mechanisms supporting and/or implementing protection of wireless links
Control enhancements
SC-40 (1) ELECTROMAGNETIC INTERFERENCE
Label: INSERT into sc-40..1.
Parameter: sc-40_prm_3 organization-defined level of protection
Control
|
The information system implements cryptographic mechanisms that achieve sc-40_prm_3 INSERT into sc-40..1. [NO PARAMETER VALUE GIVEN] against the effects of intentional electromagnetic interference. |
Supplemental guidance
This control enhancement protects against intentional jamming that might deny or impair communications by ensuring that wireless spread spectrum waveforms used to provide anti-jam protection are not predictable by unauthorized individuals. The control enhancement may also coincidentally help to mitigate the effects of unintentional jamming due to interference from legitimate transmitters sharing the same spectrum. Mission requirements, projected threats, concept of operations, and applicable legislation, directives, regulations, policies, standards, and guidelines determine levels of wireless link availability and performance/cryptography needed.
Objectives
|
Determine if:
|
Assessment: EXAMINE
System and communications protection policy
access control policy and procedures
procedures addressing wireless link protection
information system design documentation
wireless network diagrams
information system configuration settings and associated documentation
information system architecture
information system communications hardware and software
security categorization results
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developer
organizational personnel installing, configuring, and/or maintaining the information system
organizational personnel authorizing, installing, configuring and/or maintaining internal and external wireless links
Assessment: TEST
Cryptographic mechanisms enforcing protections against effects of intentional electromagnetic interference
SC-40 (2) REDUCE DETECTION POTENTIAL
Label: INSERT into sc-40..2.
Parameter: sc-40_prm_4 organization-defined level of reduction
Control
|
The information system implements cryptographic mechanisms to reduce the detection potential of wireless links to sc-40_prm_4 INSERT into sc-40..2. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
This control enhancement is needed for covert communications and protecting wireless transmitters from being geo-located by their transmissions. The control enhancement ensures that spread spectrum waveforms used to achieve low probability of detection are not predictable by unauthorized individuals. Mission requirements, projected threats, concept of operations, and applicable legislation, directives, regulations, policies, standards, and guidelines determine the levels to which wireless links should be undetectable.
Objectives
|
Determine if:
|
Assessment: EXAMINE
System and communications protection policy
access control policy and procedures
procedures addressing wireless link protection
information system design documentation
wireless network diagrams
information system configuration settings and associated documentation
information system architecture
information system communications hardware and software
security categorization results
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developer
organizational personnel installing, configuring, and/or maintaining the information system
organizational personnel authorizing, installing, configuring and/or maintaining internal and external wireless links
Assessment: TEST
Cryptographic mechanisms enforcing protections to reduce detection of wireless links
SC-40 (3) IMITATIVE OR MANIPULATIVE COMMUNICATIONS DECEPTION
Control
|
The information system implements cryptographic mechanisms to identify and reject wireless transmissions that are deliberate attempts to achieve imitative or manipulative communications deception based on signal parameters. |
Supplemental guidance
This control enhancement ensures that the signal parameters of wireless transmissions are not predictable by unauthorized individuals. Such unpredictability reduces the probability of imitative or manipulative communications deception based upon signal parameters alone.
Objectives
|
Determine if the information system implements cryptographic mechanisms to:
|
Assessment: EXAMINE
System and communications protection policy
access control policy and procedures
procedures addressing information system design documentation
wireless network diagrams
information system configuration settings and associated documentation
information system architecture
information system communications hardware and software
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developer
organizational personnel installing, configuring, and/or maintaining the information system
organizational personnel authorizing, installing, configuring and/or maintaining internal and external wireless links
Assessment: TEST
Cryptographic mechanisms enforcing wireless link protections against imitative or manipulative communications deception
SC-40 (4) SIGNAL PARAMETER IDENTIFICATION
Label: INSERT into sc-40..4.
Parameter: sc-40_prm_5 organization-defined wireless transmitters
Control
|
The information system implements cryptographic mechanisms to prevent the identification of sc-40_prm_5 INSERT into sc-40..4. [NO PARAMETER VALUE GIVEN] by using the transmitter signal parameters. |
Supplemental guidance
Radio fingerprinting techniques identify the unique signal parameters of transmitters to fingerprint such transmitters for purposes of tracking and mission/user identification. This control enhancement protects against the unique identification of wireless transmitters for purposes of intelligence exploitation by ensuring that anti-fingerprinting alterations to signal parameters are not predictable by unauthorized individuals. This control enhancement helps assure mission success when anonymity is required.
Objectives
|
Determine if:
|
Assessment: EXAMINE
System and communications protection policy
access control policy and procedures
procedures addressing information system design documentation
wireless network diagrams
information system configuration settings and associated documentation
information system architecture
information system communications hardware and software
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developer
organizational personnel installing, configuring, and/or maintaining the information system
organizational personnel authorizing, installing, configuring and/or maintaining internal and external wireless links
Assessment: TEST
Cryptographic mechanisms preventing the identification of wireless transmitters
References: None
SC-41 PORT AND I/O DEVICE ACCESS
Label: INSERT into sc-41
Parameter: sc-41_prm_1 organization-defined connection ports or input/output devices
Label: INSERT into sc-41
Parameter: sc-41_prm_2 organization-defined information systems or information system components
Control
|
The organization physically disables or removes sc-41_prm_1 INSERT into sc-41 [NO PARAMETER VALUE GIVEN] on sc-41_prm_2 INSERT into sc-41 [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Connection ports include, for example, Universal Serial Bus (USB) and Firewire (IEEE 1394). Input/output (I/O) devices include, for example, Compact Disk (CD) and Digital Video Disk (DVD) drives. Physically disabling or removing such connection ports and I/O devices helps prevent exfiltration of information from information systems and the introduction of malicious code into systems from those ports/devices.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and communications protection policy
access control policy and procedures
procedures addressing port and input/output device access
information system design documentation
information system configuration settings and associated documentation
information system architecture
information systems or information system components list of connection ports or input/output devices to be physically disabled or removed on information systems or information system components
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel installing, configuring, and/or maintaining the information system
Assessment: TEST
Automated mechanisms supporting and/or implementing disabling of connection ports or input/output devices
References: None
SC-42 SENSOR CAPABILITY AND DATA
Label: INSERT into sc-42_smt_a (SC-42a.)
Parameter: sc-42_prm_1 organization-defined exceptions where remote activation of sensors is allowed
Label: INSERT into sc-42_smt_b (SC-42b.)
Parameter: sc-42_prm_2 organization-defined class of users
Control
|
The information system:
|
Supplemental guidance
This control often applies to types of information systems or system components characterized as mobile devices, for example, smart phones, tablets, and E-readers. These systems often include sensors that can collect and record data regarding the environment where the system is in use. Sensors that are embedded within mobile devices include, for example, cameras, microphones, Global Positioning System (GPS) mechanisms, and accelerometers. While the sensors on mobiles devices provide an important function, if activated covertly, such devices can potentially provide a means for adversaries to learn valuable information about individuals and organizations. For example, remotely activating the GPS function on a mobile device could provide an adversary with the ability to track the specific movements of an individual.
Objectives
|
Determine if:
|
Assessment: EXAMINE
System and communications protection policy
procedures addressing sensor capability and data collection
access control policy and procedures
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developer
organizational personnel installing, configuring, and/or maintaining the information system
organizational personnel with responsibility for sensor capability
Assessment: TEST
Automated mechanisms implementing access controls for remote activation of information system sensor capabilities
automated mechanisms implementing capability to indicate sensor use
Control enhancements
SC-42 (1) REPORTING TO AUTHORIZED INDIVIDUALS OR ROLES
Label: INSERT into sc-42..1.
Parameter: sc-42_prm_3 organization-defined sensors
Control
|
The organization ensures that the information system is configured so that data or information collected by the sc-42_prm_3 INSERT into sc-42..1. [NO PARAMETER VALUE GIVEN] is only reported to authorized individuals or roles. |
Supplemental guidance
In situations where sensors are activated by authorized individuals (e.g., end users), it is still possible that the data/information collected by the sensors will be sent to unauthorized entities.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and communications protection policy
access control policy and procedures
procedures addressing sensor capability and data collection
information system design documentation
information system configuration settings and associated documentation
information system architecture
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developer
organizational personnel installing, configuring, and/or maintaining the information system
organizational personnel with responsibility for sensor capability
Assessment: TEST
Automated mechanisms restricting reporting of sensor information only to those authorized
sensor data collection and reporting capability for the information system
SC-42 (2) AUTHORIZED USE
Label: INSERT into sc-42..2.
Parameter: sc-42_prm_4 organization-defined measures
Label: INSERT into sc-42..2.
Parameter: sc-42_prm_5 organization-defined sensors
Control
|
The organization employs the following measures: sc-42_prm_4 INSERT into sc-42..2. [NO PARAMETER VALUE GIVEN] , so that data or information collected by sc-42_prm_5 INSERT into sc-42..2. [NO PARAMETER VALUE GIVEN] is only used for authorized purposes. |
Supplemental guidance
Information collected by sensors for a specific authorized purpose potentially could be misused for some unauthorized purpose. For example, GPS sensors that are used to support traffic navigation could be misused to track movements of individuals. Measures to mitigate such activities include, for example, additional training to ensure that authorized parties do not abuse their authority, or (in the case where sensor data/information is maintained by external parties) contractual restrictions on the use of the data/information.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and communications protection policy
access control policy and procedures
sensor capability and data collection
information system design documentation
information system configuration settings and associated documentation
information system architecture
list of measures to be employed to ensure data or information collected by sensors is only used for authorized purposes
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel installing, configuring, and/or maintaining the information system
organizational personnel with responsibility for sensor capability
Assessment: TEST
Automated mechanisms supporting and/or implementing measures to ensure sensor information is only used for authorized purposes
sensor information collection capability for the information system
SC-42 (3) PROHIBIT USE OF DEVICES
Label: INSERT into sc-42..3.
Parameter: sc-42_prm_6 organization-defined environmental sensing capabilities
Label: INSERT into sc-42..3.
Parameter: sc-42_prm_7 organization-defined facilities, areas, or systems
Control
|
The organization prohibits the use of devices possessing sc-42_prm_6 INSERT into sc-42..3. [NO PARAMETER VALUE GIVEN] in sc-42_prm_7 INSERT into sc-42..3. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
For example, organizations may prohibit individuals from bringing cell phones or digital cameras into certain facilities or specific controlled areas within facilities where classified information is stored or sensitive conversations are taking place.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and communications protection policy
access control policy and procedures
procedures addressing sensor capability and data collection
information system design documentation
wireless network diagrams
information system configuration settings and associated documentation
information system architecture
facilities, areas, or systems where use of devices possessing environmental sensing capabilities is prohibited
list of devices possessing environmental sensing capabilities
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel installing, configuring, and/or maintaining the information system
organizational personnel with responsibility for sensor capability
References: None
SC-43 USAGE RESTRICTIONS
Label: INSERT into sc-43_smt_a (SC-43a.)
Parameter: sc-43_prm_1 organization-defined information system components
Control
|
The organization:
|
Supplemental guidance
Information system components include hardware, software, or firmware components (e.g., Voice Over Internet Protocol, mobile code, digital copiers, printers, scanners, optical devices, wireless technologies, mobile devices).
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and communications protection policy
procedures addressing usage restrictions
usage restrictions
implementation policy and procedures
authorization records
information system monitoring records
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel installing, configuring, and/or maintaining the information system
Assessment: TEST
Organizational processes for authorizing, monitoring, and controlling use of components with usage restrictions
Automated mechanisms supporting and/or implementing authorizing, monitoring, and controlling use of components with usage restrictions
References: None
SC-44 DETONATION CHAMBERS
Label: INSERT into sc-44
Parameter: sc-44_prm_1 organization-defined information system, system component, or location
Control
|
The organization employs a detonation chamber capability within sc-44_prm_1 INSERT into sc-44 [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Detonation chambers, also known as dynamic execution environments, allow organizations to open email attachments, execute untrusted or suspicious applications, and execute Universal Resource Locator (URL) requests in the safety of an isolated environment or virtualized sandbox. These protected and isolated execution environments provide a means of determining whether the associated attachments/applications contain malicious code. While related to the concept of deception nets, the control is not intended to maintain a long-term environment in which adversaries can operate and their actions can be observed. Rather, it is intended to quickly identify malicious code and reduce the likelihood that the code is propagated to user environments of operation (or prevent such propagation completely).
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and communications protection policy
procedures addressing detonation chambers
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel installing, configuring, and/or maintaining the information system
Assessment: TEST
Automated mechanisms supporting and/or implementing detonation chamber capability
References: None
SYSTEM AND INFORMATION INTEGRITY
SI-1 SYSTEM AND INFORMATION INTEGRITY POLICY AND PROCEDURES
Label: INSERT into si-1_smt_a (SI-1a.)
Parameter: si-1_prm_1 organization-defined personnel or roles
Label: INSERT into si-1_smt_b.1 (SI-1b.1.)
Parameter: si-1_prm_2 organization-defined frequency
Label: INSERT into si-1_smt_b.2 (SI-1b.2.)
Parameter: si-1_prm_3 organization-defined frequency
Control
|
The organization:
|
Supplemental guidance
This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the SI family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and information integrity policy and procedures
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with system and information integrity responsibilities
organizational personnel with information security responsibilities
SI-2 FLAW REMEDIATION
Label: INSERT into si-2_smt_c (SI-2c.)
Parameter: si-2_prm_1 organization-defined time period
Control
|
The organization:
|
Supplemental guidance
Organizations identify information systems affected by announced software flaws including potential vulnerabilities resulting from those flaws, and report this information to designated organizational personnel with information security responsibilities. Security-relevant software updates include, for example, patches, service packs, hot fixes, and anti-virus signatures. Organizations also address flaws discovered during security assessments, continuous monitoring, incident response activities, and system error handling. Organizations take advantage of available resources such as the Common Weakness Enumeration (CWE) or Common Vulnerabilities and Exposures (CVE) databases in remediating flaws discovered in organizational information systems. By incorporating flaw remediation into ongoing configuration management processes, required/anticipated remediation actions can be tracked and verified. Flaw remediation actions that can be tracked and verified include, for example, determining whether organizations follow US-CERT guidance and Information Assurance Vulnerability Alerts. Organization-defined time periods for updating security-relevant software and firmware may vary based on a variety of factors including, for example, the security category of the information system or the criticality of the update (i.e., severity of the vulnerability related to the discovered flaw). Some types of flaw remediation may require more testing than other types. Organizations determine the degree and type of testing needed for the specific type of flaw remediation activity under consideration and also the types of changes that are to be configuration-managed. In some situations, organizations may determine that the testing of software and/or firmware updates is not necessary or practical, for example, when implementing simple anti-virus signature updates. Organizations may also consider in testing decisions, whether security-relevant software or firmware updates are obtained from authorized sources with appropriate digital signatures.
cf CA-7: CONTINUOUS MONITORING
cf CM-3: CONFIGURATION CHANGE CONTROL
cf CM-5: ACCESS RESTRICTIONS FOR CHANGE
cf CM-8: INFORMATION SYSTEM COMPONENT INVENTORY
cf MA-2: CONTROLLED MAINTENANCE
cf RA-5: VULNERABILITY SCANNING
cf SA-10: DEVELOPER CONFIGURATION MANAGEMENT
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and information integrity policy
procedures addressing flaw remediation
procedures addressing configuration management
list of flaws and vulnerabilities potentially affecting the information system
list of recent security flaw remediation actions performed on the information system (e.g., list of installed patches, service packs, hot fixes, and other software updates to correct information system flaws)
test results from the installation of software and firmware updates to correct information system flaws
installation/change control records for security-relevant software and firmware updates
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel installing, configuring, and/or maintaining the information system
organizational personnel with responsibility for flaw remediation
organizational personnel with configuration management responsibility
Assessment: TEST
Organizational processes for identifying, reporting, and correcting information system flaws
organizational process for installing software and firmware updates
automated mechanisms supporting and/or implementing reporting, and correcting information system flaws
automated mechanisms supporting and/or implementing testing software and firmware updates
Control enhancements
SI-2 (1) CENTRAL MANAGEMENT
Control
|
The organization centrally manages the flaw remediation process. |
Supplemental guidance
Central management is the organization-wide management and implementation of flaw remediation processes. Central management includes planning, implementing, assessing, authorizing, and monitoring the organization-defined, centrally managed flaw remediation security controls.
Objective
|
Determine if the organization centrally manages the flaw remediation process. |
Assessment: EXAMINE
System and information integrity policy
procedures addressing flaw remediation
automated mechanisms supporting centralized management of flaw remediation
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel installing, configuring, and/or maintaining the information system
organizational personnel with responsibility for flaw remediation
Assessment: TEST
Organizational processes for central management of the flaw remediation process
automated mechanisms supporting and/or implementing central management of the flaw remediation process
SI-2 (2) AUTOMATED FLAW REMEDIATION STATUS
Label: INSERT into si-2..2.
Parameter: si-2_prm_2 organization-defined frequency
Control
|
The organization employs automated mechanisms si-2_prm_2 INSERT into si-2..2. [NO PARAMETER VALUE GIVEN] to determine the state of information system components with regard to flaw remediation. |
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and information integrity policy
procedures addressing flaw remediation
automated mechanisms supporting centralized management of flaw remediation
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel installing, configuring, and/or maintaining the information system
organizational personnel with responsibility for flaw remediation
Assessment: TEST
Automated mechanisms used to determine the state of information system components with regard to flaw remediation
SI-2 (3) TIME TO REMEDIATE FLAWS / BENCHMARKS FOR CORRECTIVE ACTIONS
Label: INSERT into si-2..3._smt_b (SI-2 (3)(b))
Parameter: si-2_prm_3 organization-defined benchmarks
Control
|
The organization:
|
Supplemental guidance
This control enhancement requires organizations to determine the current time it takes on the average to correct information system flaws after such flaws have been identified, and subsequently establish organizational benchmarks (i.e., time frames) for taking corrective actions. Benchmarks can be established by type of flaw and/or severity of the potential vulnerability if the flaw can be exploited.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and information integrity policy
procedures addressing flaw remediation
information system design documentation
information system configuration settings and associated documentation
list of benchmarks for taking corrective action on flaws identified
records providing time stamps of flaw identification and subsequent flaw remediation activities
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel installing, configuring, and/or maintaining the information system
organizational personnel with responsibility for flaw remediation
Assessment: TEST
Organizational processes for identifying, reporting, and correcting information system flaws
automated mechanisms used to measure the time between flaw identification and flaw remediation
SI-2 (4) AUTOMATED PATCH MANAGEMENT TOOLS
Control
|
Withdrawn: Incorporated into SI-2. |
SI-2 (5) AUTOMATIC SOFTWARE / FIRMWARE UPDATES
Label: INSERT into si-2..5.
Parameter: si-2_prm_4 organization-defined security-relevant software and firmware updates
Label: INSERT into si-2..5.
Parameter: si-2_prm_5 organization-defined information system components
Control
|
The organization installs si-2_prm_4 INSERT into si-2..5. [NO PARAMETER VALUE GIVEN] automatically to si-2_prm_5 INSERT into si-2..5. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Due to information system integrity and availability concerns, organizations give careful consideration to the methodology used to carry out automatic updates. Organizations must balance the need to ensure that the updates are installed as soon as possible with the need to maintain configuration management and with any mission or operational impacts that automatic updates might impose.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and information integrity policy
procedures addressing flaw remediation
automated mechanisms supporting flaw remediation and automatic software/firmware updates
information system design documentation
information system configuration settings and associated documentation
records of recent security-relevant software and firmware updates automatically installed to information system components
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel installing, configuring, and/or maintaining the information system
organizational personnel with responsibility for flaw remediation
Assessment: TEST
Automated mechanisms implementing automatic software/firmware updates
SI-2 (6) REMOVAL OF PREVIOUS VERSIONS OF SOFTWARE / FIRMWARE
Label: INSERT into si-2..6.
Parameter: si-2_prm_6 organization-defined software and firmware components
Control
|
The organization removes si-2_prm_6 INSERT into si-2..6. [NO PARAMETER VALUE GIVEN] after updated versions have been installed. |
Supplemental guidance
Previous versions of software and/or firmware components that are not removed from the information system after updates have been installed may be exploited by adversaries. Some information technology products may remove older versions of software and/or firmware automatically from the information system.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and information integrity policy
procedures addressing flaw remediation
automated mechanisms supporting flaw remediation
information system design documentation
information system configuration settings and associated documentation
records of software and firmware component removals after updated versions are installed
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel installing, configuring, and/or maintaining the information system
organizational personnel with responsibility for flaw remediation
Assessment: TEST
Automated mechanisms supporting and/or implementing removal of previous versions of software/firmware
SI-3 MALICIOUS CODE PROTECTION
Label: INSERT into si-3_smt_c.1 (SI-3c.1.)
Parameter: si-3_prm_1 organization-defined frequency
Label: SELECT for { ancestor-or-self::*[@id][1]/@id }
Parameter: si-3_prm_2 Insertion into SI-3c.1.
endpoint
network entry/exit points
Label: SELECT for { ancestor-or-self::*[@id][1]/@id }
Parameter: si-3_prm_3 Insertion into SI-3c.2.
block malicious code
quarantine malicious code
send alert to administrator
si-3_prm_4 INSERT into si-3_smt_c.2 (SI-3c.2.) [NO PARAMETER VALUE GIVEN]
Label: INSERT into si-3_smt_c.2 (SI-3c.2.)
Parameter: si-3_prm_4 organization-defined action
Control
|
The organization:
|
Supplemental guidance
Information system entry and exit points include, for example, firewalls, electronic mail servers, web servers, proxy servers, remote-access servers, workstations, notebook computers, and mobile devices. Malicious code includes, for example, viruses, worms, Trojan horses, and spyware. Malicious code can also be encoded in various formats (e.g., UUENCODE, Unicode), contained within compressed or hidden files, or hidden in files using steganography. Malicious code can be transported by different means including, for example, web accesses, electronic mail, electronic mail attachments, and portable storage devices. Malicious code insertions occur through the exploitation of information system vulnerabilities. Malicious code protection mechanisms include, for example, anti-virus signature definitions and reputation-based technologies. A variety of technologies and methods exist to limit or eliminate the effects of malicious code. Pervasive configuration management and comprehensive software integrity controls may be effective in preventing execution of unauthorized code. In addition to commercial off-the-shelf software, malicious code may also be present in custom-built software. This could include, for example, logic bombs, back doors, and other types of cyber attacks that could affect organizational missions/business functions. Traditional malicious code protection mechanisms cannot always detect such code. In these situations, organizations rely instead on other safeguards including, for example, secure coding practices, configuration management and control, trusted procurement processes, and monitoring practices to help ensure that software does not perform functions other than the functions intended. Organizations may determine that in response to the detection of malicious code, different actions may be warranted. For example, organizations can define actions in response to malicious code detection during periodic scans, actions in response to detection of malicious downloads, and/or actions in response to detection of maliciousness when attempting to open or execute files.
cf CM-3: CONFIGURATION CHANGE CONTROL
cf SA-8: SECURITY ENGINEERING PRINCIPLES
cf SA-12: SUPPLY CHAIN PROTECTION
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and information integrity policy
configuration management policy and procedures
procedures addressing malicious code protection
malicious code protection mechanisms
records of malicious code protection updates
information system design documentation
information system configuration settings and associated documentation
scan results from malicious code protection mechanisms
record of actions initiated by malicious code protection mechanisms in response to malicious code detection
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel installing, configuring, and/or maintaining the information system
organizational personnel with responsibility for malicious code protection
organizational personnel with configuration management responsibility
Assessment: TEST
Organizational processes for employing, updating, and configuring malicious code protection mechanisms
organizational process for addressing false positives and resulting potential impact
automated mechanisms supporting and/or implementing employing, updating, and configuring malicious code protection mechanisms
automated mechanisms supporting and/or implementing malicious code scanning and subsequent actions
Control enhancements
SI-3 (1) CENTRAL MANAGEMENT
Control
|
The organization centrally manages malicious code protection mechanisms. |
Supplemental guidance
Central management is the organization-wide management and implementation of malicious code protection mechanisms. Central management includes planning, implementing, assessing, authorizing, and monitoring the organization-defined, centrally managed flaw malicious code protection security controls.
Objective
|
Determine if the organization centrally manages malicious code protection mechanisms. |
Assessment: EXAMINE
System and information integrity policy
procedures addressing malicious code protection
automated mechanisms supporting centralized management of malicious code protection mechanisms
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel installing, configuring, and/or maintaining the information system
organizational personnel with responsibility for malicious code protection
Assessment: TEST
Organizational processes for central management of malicious code protection mechanisms
automated mechanisms supporting and/or implementing central management of malicious code protection mechanisms
SI-3 (2) AUTOMATIC UPDATES
Control
|
The information system automatically updates malicious code protection mechanisms. |
Supplemental guidance
Malicious code protection mechanisms include, for example, signature definitions. Due to information system integrity and availability concerns, organizations give careful consideration to the methodology used to carry out automatic updates.
Objective
|
Determine if the information system automatically updates malicious code protection mechanisms. |
Assessment: EXAMINE
System and information integrity policy
procedures addressing malicious code protection
automated mechanisms supporting centralized management of malicious code protection mechanisms
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developers
organizational personnel installing, configuring, and/or maintaining the information system
organizational personnel with responsibility for malicious code protection
Assessment: TEST
Automated mechanisms supporting and/or implementing automatic updates to malicious code protection capability
SI-3 (3) NON-PRIVILEGED USERS
cf AC-6 (10): PROHIBIT NON-PRIVILEGED USERS FROM EXECUTING PRIVILEGED FUNCTIONS
Control
|
Withdrawn: Incorporated into AC-6 (10). |
SI-3 (4) UPDATES ONLY BY PRIVILEGED USERS
Control
|
The information system updates malicious code protection mechanisms only when directed by a privileged user. |
Supplemental guidance
This control enhancement may be appropriate for situations where for reasons of security or operational continuity, updates are only applied when selected/approved by designated organizational personnel.
Objective
|
Determine if the information system updates malicious code protection mechanisms only when directed by a privileged user. |
Assessment: EXAMINE
System and information integrity policy
procedures addressing malicious code protection
information system design documentation
malicious code protection mechanisms
records of malicious code protection updates
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developers
organizational personnel installing, configuring, and/or maintaining the information system
organizational personnel with responsibility for malicious code protection
Assessment: TEST
Automated mechanisms supporting and/or implementing malicious code protection capability
SI-3 (6) TESTING / VERIFICATION
Label: INSERT into si-3..6._smt_a (SI-3 (6)(a))
Parameter: si-3_prm_5 organization-defined frequency
Control
|
The organization:
|
Supplemental guidance
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and information integrity policy
procedures addressing malicious code protection
information system design documentation
information system configuration settings and associated documentation
test cases
records providing evidence of test cases executed on malicious code protection mechanisms
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel installing, configuring, and/or maintaining the information system
organizational personnel with responsibility for malicious code protection
Assessment: TEST
Automated mechanisms supporting and/or implementing testing and verification of malicious code protection capability
SI-3 (7) NONSIGNATURE-BASED DETECTION
Control
|
The information system implements nonsignature-based malicious code detection mechanisms. |
Supplemental guidance
Nonsignature-based detection mechanisms include, for example, the use of heuristics to detect, analyze, and describe the characteristics or behavior of malicious code and to provide safeguards against malicious code for which signatures do not yet exist or for which existing signatures may not be effective. This includes polymorphic malicious code (i.e., code that changes signatures when it replicates). This control enhancement does not preclude the use of signature-based detection mechanisms.
Objective
|
Determine if the information system implements non signature-based malicious code detection mechanisms. |
Assessment: EXAMINE
System and information integrity policy
procedures addressing malicious code protection
information system design documentation
malicious code protection mechanisms
records of malicious code protection updates
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developers
organizational personnel installing, configuring, and/or maintaining the information system
organizational personnel with responsibility for malicious code protection
Assessment: TEST
Automated mechanisms supporting and/or implementing nonsignature-based malicious code protection capability
SI-3 (8) DETECT UNAUTHORIZED COMMANDS
Label: INSERT into si-3..8.
Parameter: si-3_prm_6 organization-defined unauthorized operating system commands
Label: INSERT into si-3..8.
Parameter: si-3_prm_7 organization-defined information system hardware components
Label: SELECT for { ancestor-or-self::*[@id][1]/@id }
issues a warning
audits the command execution
prevents the execution of the command
Control
|
The information system detects si-3_prm_6 INSERT into si-3..8. [NO PARAMETER VALUE GIVEN] through the kernel application programming interface at si-3_prm_7 INSERT into si-3..8. [NO PARAMETER VALUE GIVEN] and si-3_prm_8 SELECT for { ancestor-or-self::*[@id][1]/@id } issues a warning audits the command execution prevents the execution of the command [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
This control enhancement can also be applied to critical interfaces other than kernel-based interfaces, including for example, interfaces with virtual machines and privileged applications. Unauthorized operating system commands include, for example, commands for kernel functions from information system processes that are not trusted to initiate such commands, or commands for kernel functions that are suspicious even though commands of that type are reasonable for processes to initiate. Organizations can define the malicious commands to be detected by a combination of command types, command classes, or specific instances of commands. Organizations can define hardware components by specific component, component type, location in the network, or combination therein. Organizations may select different actions for different types/classes/specific instances of potentially malicious commands.
Objectives
|
Determine if:
|
Assessment: EXAMINE
System and information integrity policy
procedures addressing malicious code protection
information system design documentation
malicious code protection mechanisms
warning messages sent upon detection of unauthorized operating system command execution
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developers
organizational personnel installing, configuring, and/or maintaining the information system
organizational personnel with responsibility for malicious code protection
Assessment: TEST
Automated mechanisms supporting and/or implementing malicious code protection capability
automated mechanisms supporting and/or implementing detection of unauthorized operating system commands through the kernel application programming interface
SI-3 (9) AUTHENTICATE REMOTE COMMANDS
Label: INSERT into si-3..9.
Parameter: si-3_prm_9 organization-defined security safeguards
Label: INSERT into si-3..9.
Parameter: si-3_prm_10 organization-defined remote commands
Control
|
The information system implements si-3_prm_9 INSERT into si-3..9. [NO PARAMETER VALUE GIVEN] to authenticate si-3_prm_10 INSERT into si-3..9. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
This control enhancement protects against unauthorized commands and replay of authorized commands. This capability is important for those remote information systems whose loss, malfunction, misdirection, or exploitation would have immediate and/or serious consequences (e.g., injury or death, property damage, loss of high-valued assets or sensitive information, or failure of important missions/business functions). Authentication safeguards for remote commands help to ensure that information systems accept and execute in the order intended, only authorized commands, and that unauthorized commands are rejected. Cryptographic mechanisms can be employed, for example, to authenticate remote commands.
cf SC-12: CRYPTOGRAPHIC KEY ESTABLISHMENT AND MANAGEMENT
Objectives
|
Determine if:
|
Assessment: EXAMINE
System and information integrity policy
procedures addressing malicious code protection
information system design documentation
malicious code protection mechanisms
warning messages sent upon detection of unauthorized operating system command execution
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developers
organizational personnel installing, configuring, and/or maintaining the information system
organizational personnel with responsibility for malicious code protection
Assessment: TEST
Automated mechanisms supporting and/or implementing malicious code protection capability
automated mechanisms implementing authentication of remote commands
automated mechanisms supporting and/or implementing security safeguards to authenticate remote commands
SI-3 (10) MALICIOUS CODE ANALYSIS
Label: INSERT into si-3..10._smt_a (SI-3 (10)(a))
Parameter: si-3_prm_11 organization-defined tools and techniques
Control
|
The organization:
|
Supplemental guidance
The application of selected malicious code analysis tools and techniques provides organizations with a more in-depth understanding of adversary tradecraft (i.e., tactics, techniques, and procedures) and the functionality and purpose of specific instances of malicious code. Understanding the characteristics of malicious code facilitates more effective organizational responses to current and future threats. Organizations can conduct malicious code analyses by using reverse engineering techniques or by monitoring the behavior of executing code.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and information integrity policy
procedures addressing malicious code protection
procedures addressing incident response
procedures addressing flaw remediation
information system design documentation
malicious code protection mechanisms, tools, and techniques
information system configuration settings and associated documentation
results from malicious code analyses
records of flaw remediation events resulting from malicious code analyses
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel installing, configuring, and/or maintaining the information system
organizational personnel with responsibility for malicious code protection
organizational personnel responsible for flaw remediation
organizational personnel responsible for incident response/management
Assessment: TEST
Organizational process for incident response
organizational process for flaw remediation
automated mechanisms supporting and/or implementing malicious code protection capability
tools and techniques for analysis of malicious code characteristics and behavior
References
SI-4 INFORMATION SYSTEM MONITORING
Label: INSERT into si-4_smt_a.1 (SI-4a.1.)
Parameter: si-4_prm_1 organization-defined monitoring objectives
Label: INSERT into si-4_smt_b (SI-4b.)
Parameter: si-4_prm_2 organization-defined techniques and methods
Label: INSERT into si-4_smt_g (SI-4g.)
Parameter: si-4_prm_3 organization-defined information system monitoring information
Label: INSERT into si-4_smt_g (SI-4g.)
Parameter: si-4_prm_4 organization-defined personnel or roles
Label: SELECT for { ancestor-or-self::*[@id][1]/@id }
Parameter: si-4_prm_5 Insertion into SI-4g.
as needed
si-4_prm_6 INSERT into si-4_smt_g (SI-4g.) [NO PARAMETER VALUE GIVEN]
Label: INSERT into si-4_smt_g (SI-4g.)
Parameter: si-4_prm_6 organization-defined frequency
Control
|
The organization:
|
Supplemental guidance
Information system monitoring includes external and internal monitoring. External monitoring includes the observation of events occurring at the information system boundary (i.e., part of perimeter defense and boundary protection). Internal monitoring includes the observation of events occurring within the information system. Organizations can monitor information systems, for example, by observing audit activities in real time or by observing other system aspects such as access patterns, characteristics of access, and other actions. The monitoring objectives may guide determination of the events. Information system monitoring capability is achieved through a variety of tools and techniques (e.g., intrusion detection systems, intrusion prevention systems, malicious code protection software, scanning tools, audit record monitoring software, network monitoring software). Strategic locations for monitoring devices include, for example, selected perimeter locations and near server farms supporting critical applications, with such devices typically being employed at the managed interfaces associated with controls SC-7 and AC-17. Einstein network monitoring devices from the Department of Homeland Security can also be included as monitoring devices. The granularity of monitoring information collected is based on organizational monitoring objectives and the capability of information systems to support such objectives. Specific types of transactions of interest include, for example, Hyper Text Transfer Protocol (HTTP) traffic that bypasses HTTP proxies. Information system monitoring is an integral part of organizational continuous monitoring and incident response programs. Output from system monitoring serves as input to continuous monitoring and incident response programs. A network connection is any connection with a device that communicates through a network (e.g., local area network, Internet). A remote connection is any connection with a device communicating through an external network (e.g., the Internet). Local, network, and remote connections can be either wired or wireless.
cf AC-4: INFORMATION FLOW ENFORCEMENT
cf AC-8: SYSTEM USE NOTIFICATION
cf AU-6: AUDIT REVIEW, ANALYSIS, AND REPORTING
cf AU-7: AUDIT REDUCTION AND REPORT GENERATION
cf AU-9: PROTECTION OF AUDIT INFORMATION
cf CA-7: CONTINUOUS MONITORING
cf PE-3: PHYSICAL ACCESS CONTROL
cf RA-5: VULNERABILITY SCANNING
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Continuous monitoring strategy
system and information integrity policy
procedures addressing information system monitoring tools and techniques
facility diagram/layout
information system design documentation
information system monitoring tools and techniques documentation
locations within information system where monitoring devices are deployed
information system configuration settings and associated documentation
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel installing, configuring, and/or maintaining the information system
organizational personnel with responsibility monitoring the information system
Assessment: TEST
Organizational processes for information system monitoring
automated mechanisms supporting and/or implementing information system monitoring capability
Control enhancements
SI-4 (1) SYSTEM-WIDE INTRUSION DETECTION SYSTEM
Control
|
The organization connects and configures individual intrusion detection tools into an information system-wide intrusion detection system. |
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and information integrity policy
procedures addressing information system monitoring tools and techniques
information system design documentation
information system monitoring tools and techniques documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel installing, configuring, and/or maintaining the information system
organizational personnel with responsibility for monitoring the information system
organizational personnel with responsibility for the intrusion detection system
Assessment: TEST
Organizational processes for intrusion detection/information system monitoring
automated mechanisms supporting and/or implementing intrusion detection capability
SI-4 (2) AUTOMATED TOOLS FOR REAL-TIME ANALYSIS
Control
|
The organization employs automated tools to support near real-time analysis of events. |
Supplemental guidance
Automated tools include, for example, host-based, network-based, transport-based, or storage-based event monitoring tools or Security Information and Event Management (SIEM) technologies that provide real time analysis of alerts and/or notifications generated by organizational information systems.
Objective
|
Determine if the organization employs automated tools to support near real-time analysis of events. |
Assessment: EXAMINE
System and information integrity policy
procedures addressing information system monitoring tools and techniques
information system design documentation
information system monitoring tools and techniques documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel installing, configuring, and/or maintaining the information system
organizational personnel with responsibility for monitoring the information system
organizational personnel with responsibility for incident response/management
Assessment: TEST
Organizational processes for near real-time analysis of events
organizational processes for information system monitoring
automated mechanisms supporting and/or implementing information system monitoring
automated mechanisms/tools supporting and/or implementing analysis of events
SI-4 (3) AUTOMATED TOOL INTEGRATION
Control
|
The organization employs automated tools to integrate intrusion detection tools into access control and flow control mechanisms for rapid response to attacks by enabling reconfiguration of these mechanisms in support of attack isolation and elimination. |
Objectives
|
Determine if the organization, for rapid response to attacks by enabling reconfiguration of intrusion detection tools in support of attack isolation and elimination, employs automated tools to integrate intrusion detection tools into:
|
Assessment: EXAMINE
System and information integrity policy
access control policy and procedures
procedures addressing information system monitoring tools and techniques
information system design documentation
information system monitoring tools and techniques documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel installing, configuring, and/or maintaining the information system
organizational personnel with responsibility for monitoring the information system
organizational personnel with responsibility for the intrusion detection system
Assessment: TEST
Organizational processes for intrusion detection/information system monitoring
automated mechanisms supporting and/or implementing intrusion detection/information system monitoring capability
automated mechanisms/tools supporting and/or implementing access/flow control capability
automated mechanisms/tools supporting and/or implementing integration of intrusion detection tools into access/flow control mechanisms
SI-4 (4) INBOUND AND OUTBOUND COMMUNICATIONS TRAFFIC
Label: INSERT into si-4..4.
Parameter: si-4_prm_7 organization-defined frequency
Control
|
The information system monitors inbound and outbound communications traffic si-4_prm_7 INSERT into si-4..4. [NO PARAMETER VALUE GIVEN] for unusual or unauthorized activities or conditions. |
Supplemental guidance
Unusual/unauthorized activities or conditions related to information system inbound and outbound communications traffic include, for example, internal traffic that indicates the presence of malicious code within organizational information systems or propagating among system components, the unauthorized exporting of information, or signaling to external information systems. Evidence of malicious code is used to identify potentially compromised information systems or information system components.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and information integrity policy
procedures addressing information system monitoring tools and techniques
information system design documentation
information system monitoring tools and techniques documentation
information system configuration settings and associated documentation
information system protocols
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel installing, configuring, and/or maintaining the information system
organizational personnel with responsibility for monitoring the information system
organizational personnel with responsibility for the intrusion detection system
Assessment: TEST
Organizational processes for intrusion detection/information system monitoring
automated mechanisms supporting and/or implementing intrusion detection capability/information system monitoring
automated mechanisms supporting and/or implementing monitoring of inbound/outbound communications traffic
SI-4 (5) SYSTEM-GENERATED ALERTS
Label: INSERT into si-4..5.
Parameter: si-4_prm_8 organization-defined personnel or roles
Label: INSERT into si-4..5.
Parameter: si-4_prm_9 organization-defined compromise indicators
Control
|
The information system alerts si-4_prm_8 INSERT into si-4..5. [NO PARAMETER VALUE GIVEN] when the following indications of compromise or potential compromise occur: si-4_prm_9 INSERT into si-4..5. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Alerts may be generated from a variety of sources, including, for example, audit records or inputs from malicious code protection mechanisms, intrusion detection or prevention mechanisms, or boundary protection devices such as firewalls, gateways, and routers. Alerts can be transmitted, for example, telephonically, by electronic mail messages, or by text messaging. Organizational personnel on the notification list can include, for example, system administrators, mission/business owners, system owners, or information system security officers.
Objectives
|
Determine if:
|
Assessment: EXAMINE
System and information integrity policy
procedures addressing information system monitoring tools and techniques
information system monitoring tools and techniques documentation
information system configuration settings and associated documentation
alerts/notifications generated based on compromise indicators
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developers
organizational personnel installing, configuring, and/or maintaining the information system
organizational personnel with responsibility for monitoring the information system
organizational personnel with responsibility for the intrusion detection system
Assessment: TEST
Organizational processes for intrusion detection/information system monitoring
automated mechanisms supporting and/or implementing intrusion detection/information system monitoring capability
automated mechanisms supporting and/or implementing alerts for compromise indicators
SI-4 (6) RESTRICT NON-PRIVILEGED USERS
cf AC-6 (10): PROHIBIT NON-PRIVILEGED USERS FROM EXECUTING PRIVILEGED FUNCTIONS
Control
|
Withdrawn: Incorporated into AC-6 (10). |
SI-4 (7) AUTOMATED RESPONSE TO SUSPICIOUS EVENTS
Label: INSERT into si-4..7.
Parameter: si-4_prm_10 organization-defined incident response personnel (identified by name and/or by role)
Label: INSERT into si-4..7.
Parameter: si-4_prm_11 organization-defined least-disruptive actions to terminate suspicious events
Control
|
The information system notifies si-4_prm_10 INSERT into si-4..7. [NO PARAMETER VALUE GIVEN] of detected suspicious events and takes si-4_prm_11 INSERT into si-4..7. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Least-disruptive actions may include, for example, initiating requests for human responses.
Objectives
|
Determine if:
|
Assessment: EXAMINE
System and information integrity policy
procedures addressing information system monitoring tools and techniques
information system design documentation
information system monitoring tools and techniques documentation
information system configuration settings and associated documentation
alerts/notifications generated based on detected suspicious events
records of actions taken to terminate suspicious events
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developers
organizational personnel installing, configuring, and/or maintaining the information system
organizational personnel with responsibility for monitoring the information system
organizational personnel with responsibility for the intrusion detection system
Assessment: TEST
Organizational processes for intrusion detection/information system monitoring
automated mechanisms supporting and/or implementing intrusion detection/information system monitoring capability
automated mechanisms supporting and/or implementing notifications to incident response personnel
automated mechanisms supporting and/or implementing actions to terminate suspicious events
SI-4 (8) PROTECTION OF MONITORING INFORMATION
cf SI-4: INFORMATION SYSTEM MONITORING
Control
|
Withdrawn: Incorporated into SI-4. |
SI-4 (9) TESTING OF MONITORING TOOLS
Label: INSERT into si-4..9.
Parameter: si-4_prm_12 organization-defined frequency
Control
|
The organization tests intrusion-monitoring tools si-4_prm_12 INSERT into si-4..9. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Testing intrusion-monitoring tools is necessary to ensure that the tools are operating correctly and continue to meet the monitoring objectives of organizations. The frequency of testing depends on the types of tools used by organizations and methods of deployment.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and information integrity policy
procedures addressing testing of information system monitoring tools and techniques
documentation providing evidence of testing intrusion-monitoring tools
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel installing, configuring, and/or maintaining the information system
organizational personnel with responsibility for monitoring the information system
organizational personnel with responsibility for the intrusion detection system
Assessment: TEST
Organizational processes for intrusion detection/information system monitoring
automated mechanisms supporting and/or implementing intrusion detection/information system monitoring capability
automated mechanisms supporting and/or implementing testing of intrusion-monitoring tools
SI-4 (10) VISIBILITY OF ENCRYPTED COMMUNICATIONS
Label: INSERT into si-4..10.
Parameter: si-4_prm_13 organization-defined encrypted communications traffic
Label: INSERT into si-4..10.
Parameter: si-4_prm_14 organization-defined information system monitoring tools
Control
|
The organization makes provisions so that si-4_prm_13 INSERT into si-4..10. [NO PARAMETER VALUE GIVEN] is visible to si-4_prm_14 INSERT into si-4..10. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Organizations balance the potentially conflicting needs for encrypting communications traffic and for having insight into such traffic from a monitoring perspective. For some organizations, the need to ensure the confidentiality of communications traffic is paramount; for others, mission-assurance is of greater concern. Organizations determine whether the visibility requirement applies to internal encrypted traffic, encrypted traffic intended for external destinations, or a subset of the traffic types.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and information integrity policy
procedures addressing information system monitoring tools and techniques
information system design documentation
information system monitoring tools and techniques documentation
information system configuration settings and associated documentation
information system protocols
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel installing, configuring, and/or maintaining the information system
organizational personnel with responsibility for monitoring the information system
organizational personnel with responsibility for the intrusion detection system
Assessment: TEST
Organizational processes for intrusion detection/information system monitoring
automated mechanisms supporting and/or implementing intrusion detection/information system monitoring capability
automated mechanisms supporting and/or implementing visibility of encrypted communications traffic to monitoring tools
SI-4 (11) ANALYZE COMMUNICATIONS TRAFFIC ANOMALIES
Label: INSERT into si-4..11.
Parameter: si-4_prm_15 organization-defined interior points within the system (e.g., subnetworks, subsystems)
Control
|
The organization analyzes outbound communications traffic at the external boundary of the information system and selected si-4_prm_15 INSERT into si-4..11. [NO PARAMETER VALUE GIVEN] to discover anomalies. |
Supplemental guidance
Anomalies within organizational information systems include, for example, large file transfers, long-time persistent connections, unusual protocols and ports in use, and attempted communications with suspected malicious external addresses.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and information integrity policy
procedures addressing information system monitoring tools and techniques
information system design documentation
network diagram
information system monitoring tools and techniques documentation
information system configuration settings and associated documentation
information system monitoring logs or records
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel installing, configuring, and/or maintaining the information system
organizational personnel with responsibility for monitoring the information system
organizational personnel with responsibility for the intrusion detection system
Assessment: TEST
Organizational processes for intrusion detection/information system monitoring
automated mechanisms supporting and/or implementing intrusion detection/information system monitoring capability
automated mechanisms supporting and/or implementing analysis of communications traffic
SI-4 (12) AUTOMATED ALERTS
Label: INSERT into si-4..12.
Parameter: si-4_prm_16 organization-defined activities that trigger alerts
Control
|
The organization employs automated mechanisms to alert security personnel of the following inappropriate or unusual activities with security implications: si-4_prm_16 INSERT into si-4..12. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
This control enhancement focuses on the security alerts generated by organizations and transmitted using automated means. In contrast to the alerts generated by information systems in SI-4 (5), which tend to focus on information sources internal to the systems (e.g., audit records), the sources of information for this enhancement can include other entities as well (e.g., suspicious activity reports, reports on potential insider threats).
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and information integrity policy
procedures addressing information system monitoring tools and techniques
information system design documentation
information system monitoring tools and techniques documentation
information system configuration settings and associated documentation
list of inappropriate or unusual activities (with security implications) that trigger alerts
alerts/notifications provided to security personnel
information system monitoring logs or records
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developers
organizational personnel installing, configuring, and/or maintaining the information system
organizational personnel with responsibility for monitoring the information system
organizational personnel with responsibility for the intrusion detection system
Assessment: TEST
Organizational processes for intrusion detection/information system monitoring
automated mechanisms supporting and/or implementing intrusion detection/information system monitoring capability
automated mechanisms supporting and/or implementing automated alerts to security personnel
SI-4 (13) ANALYZE TRAFFIC / EVENT PATTERNS
Control
|
The organization:
|
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and information integrity policy
procedures addressing information system monitoring tools and techniques
information system design documentation
information system monitoring tools and techniques documentation
information system configuration settings and associated documentation
list of profiles representing common traffic patterns and/or events
information system protocols documentation
list of acceptable thresholds for false positives and false negatives
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel installing, configuring, and/or maintaining the information system
organizational personnel with responsibility for monitoring the information system
organizational personnel with responsibility for the intrusion detection system
Assessment: TEST
Organizational processes for intrusion detection/information system monitoring
automated mechanisms supporting and/or implementing intrusion detection/information system monitoring capability
automated mechanisms supporting and/or implementing analysis of communications traffic/event patterns
SI-4 (14) WIRELESS INTRUSION DETECTION
Control
|
The organization employs a wireless intrusion detection system to identify rogue wireless devices and to detect attack attempts and potential compromises/breaches to the information system. |
Supplemental guidance
Wireless signals may radiate beyond the confines of organization-controlled facilities. Organizations proactively search for unauthorized wireless connections including the conduct of thorough scans for unauthorized wireless access points. Scans are not limited to those areas within facilities containing information systems, but also include areas outside of facilities as needed, to verify that unauthorized wireless access points are not connected to the systems.
Objectives
|
Determine if the organization employs a wireless intrusion detection system to:
|
Assessment: EXAMINE
System and information integrity policy
procedures addressing information system monitoring tools and techniques
information system design documentation
information system monitoring tools and techniques documentation
information system configuration settings and associated documentation
information system protocols
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel installing, configuring, and/or maintaining the information system
organizational personnel with responsibility for monitoring the information system
organizational personnel with responsibility for the intrusion detection system
Assessment: TEST
Organizational processes for intrusion detection
automated mechanisms supporting and/or implementing wireless intrusion detection capability
SI-4 (15) WIRELESS TO WIRELINE COMMUNICATIONS
Control
|
The organization employs an intrusion detection system to monitor wireless communications traffic as the traffic passes from wireless to wireline networks. |
Supplemental guidance
Objective
|
Determine if the organization employs an intrusion detection system to monitor wireless communications traffic as the traffic passes from wireless to wireline networks. |
Assessment: EXAMINE
System and information integrity policy
procedures addressing information system monitoring tools and techniques
information system design documentation
information system monitoring tools and techniques documentation
information system configuration settings and associated documentation
information system protocols documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel installing, configuring, and/or maintaining the information system
organizational personnel with responsibility for monitoring the information system
organizational personnel with responsibility for the intrusion detection system
Assessment: TEST
Organizational processes for intrusion detection/information system monitoring
automated mechanisms supporting and/or implementing intrusion detection/information system monitoring capability
automated mechanisms supporting and/or implementing wireless intrusion detection capability
SI-4 (16) CORRELATE MONITORING INFORMATION
Control
|
The organization correlates information from monitoring tools employed throughout the information system. |
Supplemental guidance
Correlating information from different monitoring tools can provide a more comprehensive view of information system activity. The correlation of monitoring tools that usually work in isolation (e.g., host monitoring, network monitoring, anti-virus software) can provide an organization-wide view and in so doing, may reveal otherwise unseen attack patterns. Understanding the capabilities/limitations of diverse monitoring tools and how to maximize the utility of information generated by those tools can help organizations to build, operate, and maintain effective monitoring programs.
Objective
|
Determine if the organization correlates information from monitoring tools employed throughout the information system. |
Assessment: EXAMINE
System and information integrity policy
procedures addressing information system monitoring tools and techniques
information system design documentation
information system monitoring tools and techniques documentation
information system configuration settings and associated documentation
event correlation logs or records
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel installing, configuring, and/or maintaining the information system
organizational personnel with responsibility for monitoring the information system
organizational personnel with responsibility for the intrusion detection system
Assessment: TEST
Organizational processes for intrusion detection/information system monitoring
automated mechanisms supporting and/or implementing intrusion detection/information system monitoring capability
automated mechanisms supporting and/or implementing correlation of information from monitoring tools
SI-4 (17) INTEGRATED SITUATIONAL AWARENESS
Control
|
The organization correlates information from monitoring physical, cyber, and supply chain activities to achieve integrated, organization-wide situational awareness. |
Supplemental guidance
This control enhancement correlates monitoring information from a more diverse set of information sources to achieve integrated situational awareness. Integrated situational awareness from a combination of physical, cyber, and supply chain monitoring activities enhances the capability of organizations to more quickly detect sophisticated cyber attacks and investigate the methods and techniques employed to carry out such attacks. In contrast to SI-4 (16) which correlates the various cyber monitoring information, this control enhancement correlates monitoring beyond just the cyber domain. Such monitoring may help reveal attacks on organizations that are operating across multiple attack vectors.
Objectives
|
Determine if the organization, to achieve integrated, organization-wide situational awareness, correlates information from monitoring:
|
Assessment: EXAMINE
System and information integrity policy
procedures addressing information system monitoring tools and techniques
information system design documentation
information system monitoring tools and techniques documentation
information system configuration settings and associated documentation
event correlation logs or records resulting from physical, cyber, and supply chain activities
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel installing, configuring, and/or maintaining the information system
organizational personnel with responsibility for monitoring the information system
organizational personnel with responsibility for the intrusion detection system
Assessment: TEST
Organizational processes for intrusion detection/information system monitoring
automated mechanisms supporting and/or implementing intrusion detection/system monitoring capability
automated mechanisms supporting and/or implementing correlation of information from monitoring tools
SI-4 (18) ANALYZE TRAFFIC / COVERT EXFILTRATION
Label: INSERT into si-4..18.
Parameter: si-4_prm_17 organization-defined interior points within the system (e.g., subsystems, subnetworks)
Control
|
The organization analyzes outbound communications traffic at the external boundary of the information system (i.e., system perimeter) and at si-4_prm_17 INSERT into si-4..18. [NO PARAMETER VALUE GIVEN] to detect covert exfiltration of information. |
Supplemental guidance
Covert means that can be used for the unauthorized exfiltration of organizational information include, for example, steganography.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and information integrity policy
procedures addressing information system monitoring tools and techniques
information system design documentation
network diagram
information system monitoring tools and techniques documentation
information system configuration settings and associated documentation
information system monitoring logs or records
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel installing, configuring, and/or maintaining the information system
organizational personnel with responsibility for monitoring the information system
organizational personnel with responsibility for the intrusion detection system
Assessment: TEST
Organizational processes for intrusion detection/information system monitoring
automated mechanisms supporting and/or implementing intrusion detection/system monitoring capability
automated mechanisms supporting and/or implementing analysis of outbound communications traffic
SI-4 (19) INDIVIDUALS POSING GREATER RISK
Label: INSERT into si-4..19.
Parameter: si-4_prm_18 organization-defined additional monitoring
Label: INSERT into si-4..19.
Parameter: si-4_prm_19 organization-defined sources
Control
|
The organization implements si-4_prm_18 INSERT into si-4..19. [NO PARAMETER VALUE GIVEN] of individuals who have been identified by si-4_prm_19 INSERT into si-4..19. [NO PARAMETER VALUE GIVEN] as posing an increased level of risk. |
Supplemental guidance
Indications of increased risk from individuals can be obtained from a variety of sources including, for example, human resource records, intelligence agencies, law enforcement organizations, and/or other credible sources. The monitoring of individuals is closely coordinated with management, legal, security, and human resources officials within organizations conducting such monitoring and complies with federal legislation, Executive Orders, policies, directives, regulations, and standards.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and information integrity policy
procedures addressing information system monitoring
information system design documentation
list of individuals who have been identified as posing an increased level of risk
information system monitoring tools and techniques documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel installing, configuring, and/or maintaining the information system
organizational personnel with responsibility for monitoring the information system
Assessment: TEST
Organizational processes for information system monitoring
automated mechanisms supporting and/or implementing system monitoring capability
SI-4 (20) PRIVILEGED USERS
Label: INSERT into si-4..20.
Parameter: si-4_prm_20 organization-defined additional monitoring
Control
|
The organization implements si-4_prm_20 INSERT into si-4..20. [NO PARAMETER VALUE GIVEN] of privileged users. |
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and information integrity policy
procedures addressing information system monitoring tools and techniques
information system design documentation
list of privileged users
information system monitoring tools and techniques documentation
information system configuration settings and associated documentation
information system monitoring logs or records
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel installing, configuring, and/or maintaining the information system
organizational personnel with responsibility for monitoring the information system
Assessment: TEST
Organizational processes for information system monitoring
automated mechanisms supporting and/or implementing system monitoring capability
SI-4 (21) PROBATIONARY PERIODS
Label: INSERT into si-4..21.
Parameter: si-4_prm_21 organization-defined additional monitoring
Label: INSERT into si-4..21.
Parameter: si-4_prm_22 organization-defined probationary period
Control
|
The organization implements si-4_prm_21 INSERT into si-4..21. [NO PARAMETER VALUE GIVEN] of individuals during si-4_prm_22 INSERT into si-4..21. [NO PARAMETER VALUE GIVEN] . |
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and information integrity policy
procedures addressing information system monitoring
information system design documentation
information system monitoring tools and techniques documentation
information system configuration settings and associated documentation
information system monitoring logs or records
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel installing, configuring, and/or maintaining the information system
organizational personnel with responsibility for monitoring the information system
Assessment: TEST
Organizational processes for information system monitoring
automated mechanisms supporting and/or implementing system monitoring capability
SI-4 (22) UNAUTHORIZED NETWORK SERVICES
Label: INSERT into si-4..22.
Parameter: si-4_prm_23 organization-defined authorization or approval processes
Label: SELECT for { ancestor-or-self::*[@id][1]/@id }
audits
alerts si-4_prm_25 INSERT into si-4..22. [NO PARAMETER VALUE GIVEN]
Label: INSERT into si-4..22.
Parameter: si-4_prm_25 organization-defined personnel or roles
Control
|
The information system detects network services that have not been authorized or approved by si-4_prm_23 INSERT into si-4..22. [NO PARAMETER VALUE GIVEN] and si-4_prm_24 SELECT for { ancestor-or-self::*[@id][1]/@id } audits alerts [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Unauthorized or unapproved network services include, for example, services in service-oriented architectures that lack organizational verification or validation and therefore may be unreliable or serve as malicious rogues for valid services.
Objectives
|
Determine if:
|
Assessment: EXAMINE
System and information integrity policy
procedures addressing information system monitoring tools and techniques
information system design documentation
information system monitoring tools and techniques documentation
information system configuration settings and associated documentation
documented authorization/approval of network services
notifications or alerts of unauthorized network services
information system monitoring logs or records
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developer
organizational personnel installing, configuring, and/or maintaining the information system
organizational personnel with responsibility for monitoring the information system
Assessment: TEST
Organizational processes for information system monitoring
automated mechanisms supporting and/or implementing system monitoring capability
automated mechanisms for auditing network services
automated mechanisms for providing alerts
SI-4 (23) HOST-BASED DEVICES
Label: INSERT into si-4..23.
Parameter: si-4_prm_26 organization-defined host-based monitoring mechanisms
Label: INSERT into si-4..23.
Parameter: si-4_prm_27 organization-defined information system components
Control
|
The organization implements si-4_prm_26 INSERT into si-4..23. [NO PARAMETER VALUE GIVEN] at si-4_prm_27 INSERT into si-4..23. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Information system components where host-based monitoring can be implemented include, for example, servers, workstations, and mobile devices. Organizations consider employing host-based monitoring mechanisms from multiple information technology product developers.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and information integrity policy
procedures addressing information system monitoring tools and techniques
information system design documentation
host-based monitoring mechanisms
information system monitoring tools and techniques documentation
information system configuration settings and associated documentation
list of information system components requiring host-based monitoring
information system monitoring logs or records
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel installing, configuring, and/or maintaining the information system
organizational personnel with responsibility for monitoring information system hosts
Assessment: TEST
Organizational processes for information system monitoring
automated mechanisms supporting and/or implementing host-based monitoring capability
SI-4 (24) INDICATORS OF COMPROMISE
Control
|
The information system discovers, collects, distributes, and uses indicators of compromise. |
Supplemental guidance
Indicators of compromise (IOC) are forensic artifacts from intrusions that are identified on organizational information systems (at the host or network level). IOCs provide organizations with valuable information on objects or information systems that have been compromised. IOCs for the discovery of compromised hosts can include for example, the creation of registry key values. IOCs for network traffic include, for example, Universal Resource Locator (URL) or protocol elements that indicate malware command and control servers. The rapid distribution and adoption of IOCs can improve information security by reducing the time that information systems and organizations are vulnerable to the same exploit or attack.
Objectives
|
Determine if the information system:
|
Assessment: EXAMINE
System and information integrity policy
procedures addressing information system monitoring
information system design documentation
information system monitoring tools and techniques documentation
information system configuration settings and associated documentation
information system monitoring logs or records
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developer
organizational personnel installing, configuring, and/or maintaining the information system
organizational personnel with responsibility for monitoring information system hosts
Assessment: TEST
Organizational processes for information system monitoring
organizational processes for discovery, collection, distribution, and use of indicators of compromise
automated mechanisms supporting and/or implementing system monitoring capability
automated mechanisms supporting and/or implementing the discovery, collection, distribution, and use of indicators of compromise
SI-5 SECURITY ALERTS, ADVISORIES, AND DIRECTIVES
Label: INSERT into si-5_smt_a (SI-5a.)
Parameter: si-5_prm_1 organization-defined external organizations
Label: SELECT for { ancestor-or-self::*[@id][1]/@id }
Parameter: si-5_prm_2 Insertion into SI-5c.
si-5_prm_3 INSERT into si-5_smt_c (SI-5c.) [NO PARAMETER VALUE GIVEN]
si-5_prm_4 INSERT into si-5_smt_c (SI-5c.) [NO PARAMETER VALUE GIVEN]
si-5_prm_5 INSERT into si-5_smt_c (SI-5c.) [NO PARAMETER VALUE GIVEN]
Label: INSERT into si-5_smt_c (SI-5c.)
Parameter: si-5_prm_3 organization-defined personnel or roles
Label: INSERT into si-5_smt_c (SI-5c.)
Parameter: si-5_prm_4 organization-defined elements within the organization
Label: INSERT into si-5_smt_c (SI-5c.)
Parameter: si-5_prm_5 organization-defined external organizations
Control
|
The organization:
|
Supplemental guidance
The United States Computer Emergency Readiness Team (US-CERT) generates security alerts and advisories to maintain situational awareness across the federal government. Security directives are issued by OMB or other designated organizations with the responsibility and authority to issue such directives. Compliance to security directives is essential due to the critical nature of many of these directives and the potential immediate adverse effects on organizational operations and assets, individuals, other organizations, and the Nation should the directives not be implemented in a timely manner. External organizations include, for example, external mission/business partners, supply chain partners, external service providers, and other peer/supporting organizations.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and information integrity policy
procedures addressing security alerts, advisories, and directives
records of security alerts and advisories
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with security alert and advisory responsibilities
organizational personnel implementing, operating, maintaining, and using the information system
organizational personnel, organizational elements, and/or external organizations to whom alerts, advisories, and directives are to be disseminated
system/network administrators
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for defining, receiving, generating, disseminating, and complying with security alerts, advisories, and directives
automated mechanisms supporting and/or implementing definition, receipt, generation, and dissemination of security alerts, advisories, and directives
automated mechanisms supporting and/or implementing security directives
Control enhancements
SI-5 (1) AUTOMATED ALERTS AND ADVISORIES
Control
|
The organization employs automated mechanisms to make security alert and advisory information available throughout the organization. |
Supplemental guidance
The significant number of changes to organizational information systems and the environments in which those systems operate requires the dissemination of security-related information to a variety of organizational entities that have a direct interest in the success of organizational missions and business functions. Based on the information provided by the security alerts and advisories, changes may be required at one or more of the three tiers related to the management of information security risk including the governance level, mission/business process/enterprise architecture level, and the information system level.
Objective
|
Determine if the organization employs automated mechanisms to make security alert and advisory information available throughout the organization. |
Assessment: EXAMINE
System and information integrity policy
procedures addressing security alerts, advisories, and directives
information system design documentation
information system configuration settings and associated documentation
automated mechanisms supporting the distribution of security alert and advisory information
records of security alerts and advisories
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with security alert and advisory responsibilities
organizational personnel implementing, operating, maintaining, and using the information system
organizational personnel, organizational elements, and/or external organizations to whom alerts and advisories are to be disseminated
system/network administrators
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for defining, receiving, generating, and disseminating security alerts and advisories
automated mechanisms supporting and/or implementing dissemination of security alerts and advisories
References
SI-6 SECURITY FUNCTION VERIFICATION
Label: INSERT into si-6_smt_a (SI-6a.)
Parameter: si-6_prm_1 organization-defined security functions
Label: SELECT for { ancestor-or-self::*[@id][1]/@id }
Parameter: si-6_prm_2 Insertion into SI-6b.
si-6_prm_3 INSERT into si-6_smt_b (SI-6b.) [NO PARAMETER VALUE GIVEN]
upon command by user with appropriate privilege
si-6_prm_4 INSERT into si-6_smt_b (SI-6b.) [NO PARAMETER VALUE GIVEN]
Label: INSERT into si-6_smt_b (SI-6b.)
Parameter: si-6_prm_3 organization-defined system transitional states
Label: INSERT into si-6_smt_b (SI-6b.)
Parameter: si-6_prm_4 organization-defined frequency
Label: INSERT into si-6_smt_c (SI-6c.)
Parameter: si-6_prm_5 organization-defined personnel or roles
Label: SELECT for { ancestor-or-self::*[@id][1]/@id }
Parameter: si-6_prm_6 Insertion into SI-6d.
shuts the information system down
restarts the information system
si-6_prm_7 INSERT into si-6_smt_d (SI-6d.) [NO PARAMETER VALUE GIVEN]
Label: INSERT into si-6_smt_d (SI-6d.)
Parameter: si-6_prm_7 organization-defined alternative action(s)
Control
|
The information system:
|
Supplemental guidance
Transitional states for information systems include, for example, system startup, restart, shutdown, and abort. Notifications provided by information systems include, for example, electronic alerts to system administrators, messages to local computer consoles, and/or hardware indications such as lights.
Objectives
|
Determine if:
|
Assessment: EXAMINE
System and information integrity policy
procedures addressing security function verification
information system design documentation
information system configuration settings and associated documentation
alerts/notifications of failed security verification tests
list of system transition states requiring security functionality verification
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with security function verification responsibilities
organizational personnel implementing, operating, and maintaining the information system
system/network administrators
organizational personnel with information security responsibilities
system developer
Assessment: TEST
Organizational processes for security function verification
automated mechanisms supporting and/or implementing security function verification capability
Control enhancements
SI-6 (1) NOTIFICATION OF FAILED SECURITY TESTS
cf SI-6: SECURITY FUNCTION VERIFICATION
Control
|
Withdrawn: Incorporated into SI-6. |
SI-6 (2) AUTOMATION SUPPORT FOR DISTRIBUTED TESTING
Control
|
The information system implements automated mechanisms to support the management of distributed security testing. |
Supplemental guidance
Objective
|
Determine if the information system implements automated mechanisms to support the management of distributed security testing. |
Assessment: EXAMINE
System and information integrity policy
procedures addressing security function verification
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with security function verification responsibilities
organizational personnel implementing, operating, and maintaining the information system
system/network administrators
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for security function verification
automated mechanisms supporting and/or implementing the management of distributed security testing
SI-6 (3) REPORT VERIFICATION RESULTS
Label: INSERT into si-6..3.
Parameter: si-6_prm_8 organization-defined personnel or roles
Control
|
The organization reports the results of security function verification to si-6_prm_8 INSERT into si-6..3. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Organizational personnel with potential interest in security function verification results include, for example, senior information security officers, information system security managers, and information systems security officers.
cf SA-12: SUPPLY CHAIN PROTECTION
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and information integrity policy
procedures addressing security function verification
information system design documentation
information system configuration settings and associated documentation
records of security function verification results
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with security function verification responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for reporting security function verification results
automated mechanisms supporting and/or implementing the reporting of security function verification results
References: None
SI-7 SOFTWARE, FIRMWARE, AND INFORMATION INTEGRITY
Label: INSERT into si-7
Parameter: si-7_prm_1 organization-defined software, firmware, and information
Control
|
The organization employs integrity verification tools to detect unauthorized changes to si-7_prm_1 INSERT into si-7 [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Unauthorized changes to software, firmware, and information can occur due to errors or malicious activity (e.g., tampering). Software includes, for example, operating systems (with key internal components such as kernels, drivers), middleware, and applications. Firmware includes, for example, the Basic Input Output System (BIOS). Information includes metadata such as security attributes associated with information. State-of-the-practice integrity-checking mechanisms (e.g., parity checks, cyclical redundancy checks, cryptographic hashes) and associated tools can automatically monitor the integrity of information systems and hosted applications.
cf SA-12: SUPPLY CHAIN PROTECTION
cf SC-8: TRANSMISSION CONFIDENTIALITY AND INTEGRITY
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and information integrity policy
procedures addressing software, firmware, and information integrity
information system design documentation
information system configuration settings and associated documentation
integrity verification tools and associated documentation
records generated/triggered from integrity verification tools regarding unauthorized software, firmware, and information changes
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibility for software, firmware, and/or information integrity
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Software, firmware, and information integrity verification tools
Control enhancements
SI-7 (1) INTEGRITY CHECKS
Label: INSERT into si-7..1.
Parameter: si-7_prm_2 organization-defined software, firmware, and information
Label: SELECT for { ancestor-or-self::*[@id][1]/@id }
at startup
at si-7_prm_4 INSERT into si-7..1. [NO PARAMETER VALUE GIVEN]
si-7_prm_5 INSERT into si-7..1. [NO PARAMETER VALUE GIVEN]
Label: INSERT into si-7..1.
Parameter: si-7_prm_4 organization-defined transitional states or security-relevant events
Label: INSERT into si-7..1.
Parameter: si-7_prm_5 organization-defined frequency
Control
|
The information system performs an integrity check of si-7_prm_2 INSERT into si-7..1. [NO PARAMETER VALUE GIVEN] si-7_prm_3 SELECT for { ancestor-or-self::*[@id][1]/@id } at startup at [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Security-relevant events include, for example, the identification of a new threat to which organizational information systems are susceptible, and the installation of new hardware, software, or firmware. Transitional states include, for example, system startup, restart, shutdown, and abort.
Objectives
|
Determine if:
|
Assessment: EXAMINE
System and information integrity policy
procedures addressing software, firmware, and information integrity
information system design documentation
information system configuration settings and associated documentation
integrity verification tools and associated documentation
records of integrity scans
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibility for software, firmware, and/or information integrity
organizational personnel with information security responsibilities
system/network administrators
system developer
Assessment: TEST
Software, firmware, and information integrity verification tools
SI-7 (2) AUTOMATED NOTIFICATIONS OF INTEGRITY VIOLATIONS
Label: INSERT into si-7..2.
Parameter: si-7_prm_6 organization-defined personnel or roles
Control
|
The organization employs automated tools that provide notification to si-7_prm_6 INSERT into si-7..2. [NO PARAMETER VALUE GIVEN] upon discovering discrepancies during integrity verification. |
Supplemental guidance
The use of automated tools to report integrity violations and to notify organizational personnel in a timely matter is an essential precursor to effective risk response. Personnel having an interest in integrity violations include, for example, mission/business owners, information system owners, systems administrators, software developers, systems integrators, and information security officers.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and information integrity policy
procedures addressing software, firmware, and information integrity
information system design documentation
information system configuration settings and associated documentation
integrity verification tools and associated documentation
records of integrity scans
automated tools supporting alerts and notifications for integrity discrepancies
alerts/notifications provided upon discovering discrepancies during integrity verifications
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibility for software, firmware, and/or information integrity
organizational personnel with information security responsibilities
Assessment: TEST
Software, firmware, and information integrity verification tools
automated mechanisms providing integrity discrepancy notifications
SI-7 (3) CENTRALLY-MANAGED INTEGRITY TOOLS
Control
|
The organization employs centrally managed integrity verification tools. |
Supplemental guidance
Objective
|
Determine if the organization employs centrally managed integrity verification tools. |
Assessment: EXAMINE
System and information integrity policy
procedures addressing software, firmware, and information integrity
information system design documentation
information system configuration settings and associated documentation
integrity verification tools and associated documentation
records of integrity scans
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibility for central management of integrity verification tools
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms supporting and/or implementing central management of integrity verification tools
SI-7 (4) TAMPER-EVIDENT PACKAGING
cf SA-12: SUPPLY CHAIN PROTECTION
Control
|
Withdrawn: Incorporated into SA-12. |
SI-7 (5) AUTOMATED RESPONSE TO INTEGRITY VIOLATIONS
Label: SELECT for { ancestor-or-self::*[@id][1]/@id }
shuts the information system down
restarts the information system
implements si-7_prm_8 INSERT into si-7..5. [NO PARAMETER VALUE GIVEN]
Label: INSERT into si-7..5.
Parameter: si-7_prm_8 organization-defined security safeguards
Control
|
The information system automatically si-7_prm_7 SELECT for { ancestor-or-self::*[@id][1]/@id } shuts the information system down restarts the information system implements [NO PARAMETER VALUE GIVEN] when integrity violations are discovered. |
Supplemental guidance
Organizations may define different integrity checking and anomaly responses: (i) by type of information (e.g., firmware, software, user data); (ii) by specific information (e.g., boot firmware, boot firmware for a specific types of machines); or (iii) a combination of both. Automatic implementation of specific safeguards within organizational information systems includes, for example, reversing the changes, halting the information system, or triggering audit alerts when unauthorized modifications to critical security files occur.
Objectives
|
Determine if:
|
Assessment: EXAMINE
System and information integrity policy
procedures addressing software, firmware, and information integrity
information system design documentation
information system configuration settings and associated documentation
integrity verification tools and associated documentation
records of integrity scans
records of integrity checks and responses to integrity violations
information audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibility for software, firmware, and/or information integrity
organizational personnel with information security responsibilities
system/network administrators
system developer
Assessment: TEST
Software, firmware, and information integrity verification tools
automated mechanisms providing an automated response to integrity violations
automated mechanisms supporting and/or implementing security safeguards to be implemented when integrity violations are discovered
SI-7 (6) CRYPTOGRAPHIC PROTECTION
Control
|
The information system implements cryptographic mechanisms to detect unauthorized changes to software, firmware, and information. |
Supplemental guidance
Cryptographic mechanisms used for the protection of integrity include, for example, digital signatures and the computation and application of signed hashes using asymmetric cryptography, protecting the confidentiality of the key used to generate the hash, and using the public key to verify the hash information.
Objectives
|
Determine if the information system employs cryptographic mechanism to detect unauthorized changes to:
|
Assessment: EXAMINE
System and information integrity policy
procedures addressing software, firmware, and information integrity
information system design documentation
information system configuration settings and associated documentation
cryptographic mechanisms and associated documentation
records of detected unauthorized changes to software, firmware, and information
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibility for software, firmware, and/or information integrity
organizational personnel with information security responsibilities
system/network administrators
system developer
Assessment: TEST
Software, firmware, and information integrity verification tools
cryptographic mechanisms implementing software, firmware, and information integrity
SI-7 (7) INTEGRATION OF DETECTION AND RESPONSE
Label: INSERT into si-7..7.
Parameter: si-7_prm_9 organization-defined security-relevant changes to the information system
Control
|
The organization incorporates the detection of unauthorized si-7_prm_9 INSERT into si-7..7. [NO PARAMETER VALUE GIVEN] into the organizational incident response capability. |
Supplemental guidance
This control enhancement helps to ensure that detected events are tracked, monitored, corrected, and available for historical purposes. Maintaining historical records is important both for being able to identify and discern adversary actions over an extended period of time and for possible legal actions. Security-relevant changes include, for example, unauthorized changes to established configuration settings or unauthorized elevation of information system privileges.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and information integrity policy
procedures addressing software, firmware, and information integrity
procedures addressing incident response
information system design documentation
information system configuration settings and associated documentation
incident response records
information audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibility for software, firmware, and/or information integrity
organizational personnel with information security responsibilities
organizational personnel with incident response responsibilities
Assessment: TEST
Organizational processes for incorporating detection of unauthorized security-relevant changes into the incident response capability
software, firmware, and information integrity verification tools
automated mechanisms supporting and/or implementing incorporation of detection of unauthorized security-relevant changes into the incident response capability
SI-7 (8) AUDITING CAPABILITY FOR SIGNIFICANT EVENTS
Label: SELECT for { ancestor-or-self::*[@id][1]/@id }
generates an audit record
alerts current user
alerts si-7_prm_11 INSERT into si-7..8. [NO PARAMETER VALUE GIVEN]
si-7_prm_12 INSERT into si-7..8. [NO PARAMETER VALUE GIVEN]
Label: INSERT into si-7..8.
Parameter: si-7_prm_11 organization-defined personnel or roles
Label: INSERT into si-7..8.
Parameter: si-7_prm_12 organization-defined other actions
Control
|
The information system, upon detection of a potential integrity violation, provides the capability to audit the event and initiates the following actions: si-7_prm_10 SELECT for { ancestor-or-self::*[@id][1]/@id } generates an audit record alerts current user alerts [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Organizations select response actions based on types of software, specific software, or information for which there are potential integrity violations.
Objectives
|
Determine if:
|
Assessment: EXAMINE
System and information integrity policy
procedures addressing software, firmware, and information integrity
information system design documentation
information system configuration settings and associated documentation
integrity verification tools and associated documentation
records of integrity scans
incident response records, list of security-relevant changes to the information system
automated tools supporting alerts and notifications if unauthorized security changes are detected
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibility for software, firmware, and/or information integrity
organizational personnel with information security responsibilities
system/network administrators
system developer
Assessment: TEST
Software, firmware, and information integrity verification tools
automated mechanisms supporting and/or implementing the capability to audit potential integrity violations
automated mechanisms supporting and/or implementing alerts about potential integrity violations
SI-7 (9) VERIFY BOOT PROCESS
Label: INSERT into si-7..9.
Parameter: si-7_prm_13 organization-defined devices
Control
|
The information system verifies the integrity of the boot process of si-7_prm_13 INSERT into si-7..9. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Ensuring the integrity of boot processes is critical to starting devices in known/trustworthy states. Integrity verification mechanisms provide organizational personnel with assurance that only trusted code is executed during boot processes.
Objectives
|
Determine if:
|
Assessment: EXAMINE
System and information integrity policy
procedures addressing software, firmware, and information integrity
information system design documentation
information system configuration settings and associated documentation
integrity verification tools and associated documentation
documentation
records of integrity verification scans
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibility for software, firmware, and/or information integrity
organizational personnel with information security responsibilities
system developer
Assessment: TEST
Software, firmware, and information integrity verification tools
automated mechanisms supporting and/or implementing integrity verification of the boot process
SI-7 (10) PROTECTION OF BOOT FIRMWARE
Label: INSERT into si-7..10.
Parameter: si-7_prm_14 organization-defined security safeguards
Label: INSERT into si-7..10.
Parameter: si-7_prm_15 organization-defined devices
Control
|
The information system implements si-7_prm_14 INSERT into si-7..10. [NO PARAMETER VALUE GIVEN] to protect the integrity of boot firmware in si-7_prm_15 INSERT into si-7..10. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Unauthorized modifications to boot firmware may be indicative of a sophisticated, targeted cyber attack. These types of cyber attacks can result in a permanent denial of service (e.g., if the firmware is corrupted) or a persistent malicious code presence (e.g., if code is embedded within the firmware). Devices can protect the integrity of the boot firmware in organizational information systems by: (i) verifying the integrity and authenticity of all updates to the boot firmware prior to applying changes to the boot devices; and (ii) preventing unauthorized processes from modifying the boot firmware.
Objectives
|
Determine if:
|
Assessment: EXAMINE
System and information integrity policy
procedures addressing software, firmware, and information integrity
information system design documentation
information system configuration settings and associated documentation
integrity verification tools and associated documentation
records of integrity verification scans
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibility for software, firmware, and/or information integrity
organizational personnel with information security responsibilities
system/network administrators
system developer
Assessment: TEST
Software, firmware, and information integrity verification tools
automated mechanisms supporting and/or implementing protection of the integrity of boot firmware
safeguards implementing protection of the integrity of boot firmware
SI-7 (11) CONFINED ENVIRONMENTS WITH LIMITED PRIVILEGES
Label: INSERT into si-7..11.
Parameter: si-7_prm_16 organization-defined user-installed software
Control
|
The organization requires that si-7_prm_16 INSERT into si-7..11. [NO PARAMETER VALUE GIVEN] execute in a confined physical or virtual machine environment with limited privileges. |
Supplemental guidance
Organizations identify software that may be of greater concern with regard to origin or potential for containing malicious code. For this type of software, user installations occur in confined environments of operation to limit or contain damage from malicious code that may be executed.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and information integrity policy
procedures addressing software, firmware, and information integrity
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibility for software, firmware, and/or information integrity
organizational personnel with information security responsibilities
Assessment: TEST
Software, firmware, and information integrity verification tools
automated mechanisms supporting and/or implementing execution of software in a confined environment (physical and/or virtual)
automated mechanisms supporting and/or implementing limited privileges in the confined environment
SI-7 (12) INTEGRITY VERIFICATION
Label: INSERT into si-7..12.
Parameter: si-7_prm_17 organization-defined user-installed software
Control
|
The organization requires that the integrity of si-7_prm_17 INSERT into si-7..12. [NO PARAMETER VALUE GIVEN] be verified prior to execution. |
Supplemental guidance
Organizations verify the integrity of user-installed software prior to execution to reduce the likelihood of executing malicious code or code that contains errors from unauthorized modifications. Organizations consider the practicality of approaches to verifying software integrity including, for example, availability of checksums of adequate trustworthiness from software developers or vendors.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and information integrity policy
procedures addressing software, firmware, and information integrity
information system design documentation
information system configuration settings and associated documentation
integrity verification records
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibility for software, firmware, and/or information integrity
organizational personnel with information security responsibilities
Assessment: TEST
Software, firmware, and information integrity verification tools
automated mechanisms supporting and/or implementing verification of the integrity of user-installed software prior to execution
SI-7 (13) CODE EXECUTION IN PROTECTED ENVIRONMENTS
Label: INSERT into si-7..13.
Parameter: si-7_prm_18 organization-defined personnel or roles
Control
|
The organization allows execution of binary or machine-executable code obtained from sources with limited or no warranty and without the provision of source code only in confined physical or virtual machine environments and with the explicit approval of si-7_prm_18 INSERT into si-7..13. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
This control enhancement applies to all sources of binary or machine-executable code including, for example, commercial software/firmware and open source software.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and information integrity policy
procedures addressing software, firmware, and information integrity
information system design documentation
information system configuration settings and associated documentation
approval records for execution of binary and machine-executable code
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibility for software, firmware, and/or information integrity
organizational personnel with information security responsibilities
system/network administrators
system developer
Assessment: TEST
Software, firmware, and information integrity verification tools
automated mechanisms supporting and/or implementing approvals for execution of binary or machine-executable code
SI-7 (14) BINARY OR MACHINE EXECUTABLE CODE
Control
|
The organization:
|
Supplemental guidance
This control enhancement applies to all sources of binary or machine-executable code including, for example, commercial software/firmware and open source software. Organizations assess software products without accompanying source code from sources with limited or no warranty for potential security impacts. The assessments address the fact that these types of software products may be very difficult to review, repair, or extend, given that organizations, in most cases, do not have access to the original source code, and there may be no owners who could make such repairs on behalf of organizations.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and information integrity policy
procedures addressing software, firmware, and information integrity
information system design documentation
information system configuration settings and associated documentation
approval records for execution of binary and machine-executable code
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibility for software, firmware, and/or information integrity
organizational personnel with information security responsibilities
authorizing official
system/network administrators
system developer
Assessment: TEST
Automated mechanisms supporting and/or implementing prohibition of the execution of binary or machine-executable code
SI-7 (15) CODE AUTHENTICATION
Label: INSERT into si-7..15.
Parameter: si-7_prm_19 organization-defined software or firmware components
Control
|
The information system implements cryptographic mechanisms to authenticate si-7_prm_19 INSERT into si-7..15. [NO PARAMETER VALUE GIVEN] prior to installation. |
Supplemental guidance
Cryptographic authentication includes, for example, verifying that software or firmware components have been digitally signed using certificates recognized and approved by organizations. Code signing is an effective method to protect against malicious code.
Objectives
|
Determine if:
|
Assessment: EXAMINE
System and information integrity policy
procedures addressing software, firmware, and information integrity
information system design documentation
information system configuration settings and associated documentation
cryptographic mechanisms and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibility for software, firmware, and/or information integrity
organizational personnel with information security responsibilities
system/network administrators
system developer
Assessment: TEST
Cryptographic mechanisms authenticating software/firmware prior to installation
SI-7 (16) TIME LIMIT ON PROCESS EXECUTION W/O SUPERVISION
Label: INSERT into si-7..16.
Parameter: si-7_prm_20 organization-defined time period
Control
|
The organization does not allow processes to execute without supervision for more than si-7_prm_20 INSERT into si-7..16. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
This control enhancement addresses processes for which normal execution periods can be determined and situations in which organizations exceed such periods. Supervision includes, for example, operating system timers, automated responses, or manual oversight and response when information system process anomalies occur.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and information integrity policy
procedures addressing software and information integrity
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibility for software, firmware, and/or information integrity
organizational personnel with information security responsibilities
system/network administrators
system developer
Assessment: TEST
Software, firmware, and information integrity verification tools
automated mechanisms supporting and/or implementing time limits on process execution without supervision
SI-8 SPAM PROTECTION
Control
|
The organization:
|
Supplemental guidance
Information system entry and exit points include, for example, firewalls, electronic mail servers, web servers, proxy servers, remote-access servers, workstations, mobile devices, and notebook/laptop computers. Spam can be transported by different means including, for example, electronic mail, electronic mail attachments, and web accesses. Spam protection mechanisms include, for example, signature definitions.
cf AT-2: SECURITY AWARENESS TRAINING
cf AT-3: ROLE-BASED SECURITY TRAINING
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and information integrity policy
configuration management policy and procedures (CM-1)
procedures addressing spam protection
spam protection mechanisms
records of spam protection updates
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibility for spam protection
organizational personnel with information security responsibilities
system/network administrators
system developer
Assessment: TEST
Organizational processes for implementing spam protection
automated mechanisms supporting and/or implementing spam protection
Control enhancements
SI-8 (1) CENTRAL MANAGEMENT
Control
|
The organization centrally manages spam protection mechanisms. |
Supplemental guidance
Central management is the organization-wide management and implementation of spam protection mechanisms. Central management includes planning, implementing, assessing, authorizing, and monitoring the organization-defined, centrally managed spam protection security controls.
Objective
|
Determine if the organization centrally manages spam protection mechanisms. |
Assessment: EXAMINE
System and information integrity policy
procedures addressing spam protection
spam protection mechanisms
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibility for spam protection
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Organizational processes for central management of spam protection
automated mechanisms supporting and/or implementing central management of spam protection
SI-8 (2) AUTOMATIC UPDATES
Control
|
The information system automatically updates spam protection mechanisms. |
Objective
|
Determine if the information system automatically updates spam protection mechanisms. |
Assessment: EXAMINE
System and information integrity policy
procedures addressing spam protection
spam protection mechanisms
records of spam protection updates
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibility for spam protection
organizational personnel with information security responsibilities
system/network administrators
system developer
Assessment: TEST
Organizational processes for spam protection
automated mechanisms supporting and/or implementing automatic updates to spam protection mechanisms
SI-8 (3) CONTINUOUS LEARNING CAPABILITY
Control
|
The information system implements spam protection mechanisms with a learning capability to more effectively identify legitimate communications traffic. |
Supplemental guidance
Learning mechanisms include, for example, Bayesian filters that respond to user inputs identifying specific traffic as spam or legitimate by updating algorithm parameters and thereby more accurately separating types of traffic.
Objective
|
Determine if the information system implements spam protection mechanisms with a learning capability to more effectively identify legitimate communications traffic. |
Assessment: EXAMINE
System and information integrity policy
procedures addressing spam protection
spam protection mechanisms
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibility for spam protection
organizational personnel with information security responsibilities
system/network administrators
system developer
Assessment: TEST
Organizational processes for spam protection
automated mechanisms supporting and/or implementing spam protection mechanisms with a learning capability
References
SI-9 INFORMATION INPUT RESTRICTIONS
Control
|
Withdrawn: Incorporated into AC-2, AC-3, AC-5, AC-6. |
References: None
SI-10 INFORMATION INPUT VALIDATION
Label: INSERT into si-10
Parameter: si-10_prm_1 organization-defined information inputs
Control
|
The information system checks the validity of si-10_prm_1 INSERT into si-10 [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Checking the valid syntax and semantics of information system inputs (e.g., character set, length, numerical range, and acceptable values) verifies that inputs match specified definitions for format and content. Software applications typically follow well-defined protocols that use structured messages (i.e., commands or queries) to communicate between software modules or system components. Structured messages can contain raw or unstructured data interspersed with metadata or control information. If software applications use attacker-supplied inputs to construct structured messages without properly encoding such messages, then the attacker could insert malicious commands or special characters that can cause the data to be interpreted as control information or metadata. Consequently, the module or component that receives the tainted output will perform the wrong operations or otherwise interpret the data incorrectly. Prescreening inputs prior to passing to interpreters prevents the content from being unintentionally interpreted as commands. Input validation helps to ensure accurate and correct inputs and prevent attacks such as cross-site scripting and a variety of injection attacks.
Objectives
|
Determine if:
|
Assessment: EXAMINE
System and information integrity policy
access control policy and procedures
separation of duties policy and procedures
procedures addressing information input validation
documentation for automated tools and applications to verify validity of information
list of information inputs requiring validity checks
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibility for information input validation
organizational personnel with information security responsibilities
system/network administrators
system developer
Assessment: TEST
Automated mechanisms supporting and/or implementing validity checks on information inputs
Control enhancements
SI-10 (1) MANUAL OVERRIDE CAPABILITY
Label: INSERT into si-10..1._smt_a (SI-10 (1)(a))
Parameter: si-10_prm_2 organization-defined inputs
Label: INSERT into si-10..1._smt_b (SI-10 (1)(b))
Parameter: si-10_prm_3 organization-defined authorized individuals
Control
|
The information system:
|
Objectives
|
Determine if:
|
Assessment: EXAMINE
System and information integrity policy
access control policy and procedures
separation of duties policy and procedures
procedures addressing information input validation
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibility for information input validation
organizational personnel with information security responsibilities
system/network administrators
system developer
Assessment: TEST
Organizational processes for use of manual override capability
automated mechanisms supporting and/or implementing manual override capability for input validation
automated mechanisms supporting and/or implementing auditing of the use of manual override capability
SI-10 (2) REVIEW / RESOLUTION OF ERRORS
Label: INSERT into si-10..2.
Parameter: si-10_prm_4 organization-defined time period
Control
|
The organization ensures that input validation errors are reviewed and resolved within si-10_prm_4 INSERT into si-10..2. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Resolution of input validation errors includes, for example, correcting systemic causes of errors and resubmitting transactions with corrected input.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and information integrity policy
access control policy and procedures
separation of duties policy and procedures
procedures addressing information input validation
information system design documentation
information system configuration settings and associated documentation
review records of information input validation errors and resulting resolutions
information input validation error logs or records
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibility for information input validation
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Organizational processes for review and resolution of input validation errors
automated mechanisms supporting and/or implementing review and resolution of input validation errors
SI-10 (3) PREDICTABLE BEHAVIOR
Control
|
The information system behaves in a predictable and documented manner that reflects organizational and system objectives when invalid inputs are received. |
Supplemental guidance
A common vulnerability in organizational information systems is unpredictable behavior when invalid inputs are received. This control enhancement ensures that there is predictable behavior in the face of invalid inputs by specifying information system responses that facilitate transitioning the system to known states without adverse, unintended side effects.
Objective
|
Determine if the information system behaves in a predictable and documented manner that reflects organizational and system objectives when invalid inputs are received. |
Assessment: EXAMINE
System and information integrity policy
procedures addressing information input validation
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibility for information input validation
organizational personnel with information security responsibilities
system/network administrators
system developer
Assessment: TEST
Automated mechanisms supporting and/or implementing predictable behavior when invalid inputs are received
SI-10 (4) REVIEW / TIMING INTERACTIONS
Control
|
The organization accounts for timing interactions among information system components in determining appropriate responses for invalid inputs. |
Supplemental guidance
In addressing invalid information system inputs received across protocol interfaces, timing interactions become relevant, where one protocol needs to consider the impact of the error response on other protocols within the protocol stack. For example, 802.11 standard wireless network protocols do not interact well with Transmission Control Protocols (TCP) when packets are dropped (which could be due to invalid packet input). TCP assumes packet losses are due to congestion, while packets lost over 802.11 links are typically dropped due to collisions or noise on the link. If TCP makes a congestion response, it takes precisely the wrong action in response to a collision event. Adversaries may be able to use apparently acceptable individual behaviors of the protocols in concert to achieve adverse effects through suitable construction of invalid input.
Objective
|
Determine if the organization accounts for timing interactions among information system components in determining appropriate responses for invalid inputs. |
Assessment: EXAMINE
System and information integrity policy
procedures addressing information input validation
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibility for information input validation
organizational personnel with information security responsibilities
system/network administrators
system developer
Assessment: TEST
Organizational processes for determining appropriate responses to invalid inputs
automated mechanisms supporting and/or implementing responses to invalid inputs
SI-10 (5) RESTRICT INPUTS TO TRUSTED SOURCES AND APPROVED FORMATS
Label: INSERT into si-10..5.
Parameter: si-10_prm_5 organization-defined trusted sources
Label: INSERT into si-10..5.
Parameter: si-10_prm_6 organization-defined formats
Control
|
The organization restricts the use of information inputs to si-10_prm_5 INSERT into si-10..5. [NO PARAMETER VALUE GIVEN] and/or si-10_prm_6 INSERT into si-10..5. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
This control enhancement applies the concept of whitelisting to information inputs. Specifying known trusted sources for information inputs and acceptable formats for such inputs can reduce the probability of malicious activity.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and information integrity policy
procedures addressing information input validation
information system design documentation
information system configuration settings and associated documentation
list of trusted sources for information inputs
list of acceptable formats for input restrictions
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibility for information input validation
organizational personnel with information security responsibilities
system/network administrators
system developer
Assessment: TEST
Organizational processes for restricting information inputs
automated mechanisms supporting and/or implementing restriction of information inputs
References: None
SI-11 ERROR HANDLING
Label: INSERT into si-11_smt_b (SI-11b.)
Parameter: si-11_prm_1 organization-defined personnel or roles
Control
|
The information system:
|
Supplemental guidance
Organizations carefully consider the structure/content of error messages. The extent to which information systems are able to identify and handle error conditions is guided by organizational policy and operational requirements. Information that could be exploited by adversaries includes, for example, erroneous logon attempts with passwords entered by mistake as the username, mission/business information that can be derived from (if not stated explicitly by) information recorded, and personal information such as account numbers, social security numbers, and credit card numbers. In addition, error messages may provide a covert channel for transmitting information.
Objectives
|
Determine if:
|
Assessment: EXAMINE
System and information integrity policy
procedures addressing information system error handling
information system design documentation
information system configuration settings and associated documentation
documentation providing structure/content of error messages
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibility for information input validation
organizational personnel with information security responsibilities
system/network administrators
system developer
Assessment: TEST
Organizational processes for error handling
automated mechanisms supporting and/or implementing error handling
automated mechanisms supporting and/or implementing management of error messages
References: None
SI-12 INFORMATION HANDLING AND RETENTION
Control
|
The organization handles and retains information within the information system and information output from the system in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and operational requirements. |
Supplemental guidance
Information handling and retention requirements cover the full life cycle of information, in some cases extending beyond the disposal of information systems. The National Archives and Records Administration provides guidance on records retention.
cf AU-5: RESPONSE TO AUDIT PROCESSING FAILURES
Objectives
|
Determine if the organization, in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and operational requirements:
|
Assessment: EXAMINE
System and information integrity policy
federal laws, Executive Orders, directives, policies, regulations, standards, and operational requirements applicable to information handling and retention
media protection policy and procedures
procedures addressing information system output handling and retention
information retention records, other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibility for information handling and retention
organizational personnel with information security responsibilities/network administrators
Assessment: TEST
Organizational processes for information handling and retention
automated mechanisms supporting and/or implementing information handling and retention
References: None
SI-13 PREDICTABLE FAILURE PREVENTION
Label: INSERT into si-13_smt_a (SI-13a.)
Parameter: si-13_prm_1 organization-defined information system components
Label: INSERT into si-13_smt_b (SI-13b.)
Parameter: si-13_prm_2 organization-defined MTTF substitution criteria
Control
|
The organization:
|
Supplemental guidance
While MTTF is primarily a reliability issue, this control addresses potential failures of specific information system components that provide security capability. Failure rates reflect installation-specific consideration, not industry-average. Organizations define criteria for substitution of information system components based on MTTF value with consideration for resulting potential harm from component failures. Transfer of responsibilities between active and standby components does not compromise safety, operational readiness, or security capability (e.g., preservation of state variables). Standby components remain available at all times except for maintenance issues or recovery failures in progress.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and information integrity policy
procedures addressing predictable failure prevention
information system design documentation
information system configuration settings and associated documentation
list of MTTF substitution criteria
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibility for MTTF determinations and activities
organizational personnel with information security responsibilities
system/network administrators
organizational personnel with contingency planning responsibilities
Assessment: TEST
Organizational processes for managing MTTF
Control enhancements
SI-13 (1) TRANSFERRING COMPONENT RESPONSIBILITIES
Label: INSERT into si-13..1.
Parameter: si-13_prm_3 organization-defined fraction or percentage
Control
|
The organization takes information system components out of service by transferring component responsibilities to substitute components no later than si-13_prm_3 INSERT into si-13..1. [NO PARAMETER VALUE GIVEN] of mean time to failure. |
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and information integrity policy
procedures addressing predictable failure prevention
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibility for MTTF activities
organizational personnel with information security responsibilities
system/network administrators
organizational personnel with contingency planning responsibilities
Assessment: TEST
Organizational processes for managing MTTF
automated mechanisms supporting and/or implementing transfer of component responsibilities to substitute components
SI-13 (2) TIME LIMIT ON PROCESS EXECUTION WITHOUT SUPERVISION
cf SI-7 (16): TIME LIMIT ON PROCESS EXECUTION W/O SUPERVISION
Control
|
Withdrawn: Incorporated into SI-7 (16). |
SI-13 (3) MANUAL TRANSFER BETWEEN COMPONENTS
Label: INSERT into si-13..3.
Parameter: si-13_prm_4 organization-defined frequency
Label: INSERT into si-13..3.
Parameter: si-13_prm_5 organization-defined time period
Control
|
The organization manually initiates transfers between active and standby information system components si-13_prm_4 INSERT into si-13..3. [NO PARAMETER VALUE GIVEN] if the mean time to failure exceeds si-13_prm_5 INSERT into si-13..3. [NO PARAMETER VALUE GIVEN] . |
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and information integrity policy
procedures addressing predictable failure prevention
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibility for MTTF activities
organizational personnel with information security responsibilities
system/network administrators
organizational personnel with contingency planning responsibilities
Assessment: TEST
Organizational processes for managing MTTF and conducting the manual transfer between active and standby components
SI-13 (4) STANDBY COMPONENT INSTALLATION / NOTIFICATION
Label: INSERT into si-13..4._smt_a (SI-13 (4)(a))
Parameter: si-13_prm_6 organization-defined time period
Label: SELECT for { ancestor-or-self::*[@id][1]/@id }
Parameter: si-13_prm_7 Insertion into SI-13 (4)(b)
activates si-13_prm_8 INSERT into si-13..4._smt_b (SI-13 (4)(b)) [NO PARAMETER VALUE GIVEN]
automatically shuts down the information system
Label: INSERT into si-13..4._smt_b (SI-13 (4)(b))
Parameter: si-13_prm_8 organization-defined alarm
Control
|
The organization, if information system component failures are detected:
|
Supplemental guidance
Automatic or manual transfer of components from standby to active mode can occur, for example, upon detection of component failures.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and information integrity policy
procedures addressing predictable failure prevention
information system design documentation
information system configuration settings and associated documentation
list of actions to be taken once information system component failure is detected
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibility for MTTF activities
organizational personnel with information security responsibilities
system/network administrators
organizational personnel with contingency planning responsibilities
Assessment: TEST
Organizational processes for managing MTTF
automated mechanisms supporting and/or implementing transparent installation of standby components
automated mechanisms supporting and/or implementing alarms or system shutdown if component failures are detected
SI-13 (5) FAILOVER CAPABILITY
Label: SELECT for { ancestor-or-self::*[@id][1]/@id }
real-time
near real-time
Label: INSERT into si-13..5.
Parameter: si-13_prm_10 organization-defined failover capability
Control
|
The organization provides si-13_prm_9 SELECT for { ancestor-or-self::*[@id][1]/@id } real-time near real-time [NO PARAMETER VALUE GIVEN] si-13_prm_10 INSERT into si-13..5. [NO PARAMETER VALUE GIVEN] for the information system. |
Supplemental guidance
Failover refers to the automatic switchover to an alternate information system upon the failure of the primary information system. Failover capability includes, for example, incorporating mirrored information system operations at alternate processing sites or periodic data mirroring at regular intervals defined by recovery time periods of organizations.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and information integrity policy
procedures addressing predictable failure prevention
information system design documentation
information system configuration settings and associated documentation
documentation describing failover capability provided for the information system
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibility for failover capability
organizational personnel with information security responsibilities
system/network administrators
organizational personnel with contingency planning responsibilities
Assessment: TEST
Organizational processes for managing failover capability
automated mechanisms supporting and/or implementing failover capability
References: None
SI-14 NON-PERSISTENCE
Label: INSERT into si-14
Parameter: si-14_prm_1 organization-defined information system components and services
Label: SELECT for { ancestor-or-self::*[@id][1]/@id }
upon end of session of use
periodically at si-14_prm_3 INSERT into si-14 [NO PARAMETER VALUE GIVEN]
Label: INSERT into si-14
Parameter: si-14_prm_3 organization-defined frequency
Control
|
The organization implements non-persistent si-14_prm_1 INSERT into si-14 [NO PARAMETER VALUE GIVEN] that are initiated in a known state and terminated si-14_prm_2 SELECT for { ancestor-or-self::*[@id][1]/@id } upon end of session of use periodically at [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
This control mitigates risk from advanced persistent threats (APTs) by significantly reducing the targeting capability of adversaries (i.e., window of opportunity and available attack surface) to initiate and complete cyber attacks. By implementing the concept of non-persistence for selected information system components, organizations can provide a known state computing resource for a specific period of time that does not give adversaries sufficient time on target to exploit vulnerabilities in organizational information systems and the environments in which those systems operate. Since the advanced persistent threat is a high-end threat with regard to capability, intent, and targeting, organizations assume that over an extended period of time, a percentage of cyber attacks will be successful. Non-persistent information system components and services are activated as required using protected information and terminated periodically or upon the end of sessions. Non-persistence increases the work factor of adversaries in attempting to compromise or breach organizational information systems. Non-persistent system components can be implemented, for example, by periodically re-imaging components or by using a variety of common virtualization techniques. Non-persistent services can be implemented using virtualization techniques as part of virtual machines or as new instances of processes on physical machines (either persistent or non-persistent).The benefit of periodic refreshes of information system components/services is that it does not require organizations to first determine whether compromises of components or services have occurred (something that may often be difficult for organizations to determine). The refresh of selected information system components and services occurs with sufficient frequency to prevent the spread or intended impact of attacks, but not with such frequency that it makes the information system unstable. In some instances, refreshes of critical components and services may be done periodically in order to hinder the ability of adversaries to exploit optimum windows of vulnerabilities.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and information integrity policy
procedures addressing non-persistence for information system components
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibility for non-persistence
organizational personnel with information security responsibilities
system/network administrators
system developer
Assessment: TEST
Automated mechanisms supporting and/or implementing initiation and termination of non-persistent components
Control enhancements
SI-14 (1) REFRESH FROM TRUSTED SOURCES
Label: INSERT into si-14..1.
Parameter: si-14_prm_4 organization-defined trusted sources
Control
|
The organization ensures that software and data employed during information system component and service refreshes are obtained from si-14_prm_4 INSERT into si-14..1. [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Trusted sources include, for example, software/data from write-once, read-only media or from selected off-line secure storage facilities.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and information integrity policy
procedures addressing non-persistence for information system components
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibility for obtaining component and service refreshes from trusted sources
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for defining and obtaining component and service refreshes from trusted sources
automated mechanisms supporting and/or implementing component and service refreshes
References: None
SI-15 INFORMATION OUTPUT FILTERING
Label: INSERT into si-15
Parameter: si-15_prm_1 organization-defined software programs and/or applications
Control
|
The information system validates information output from si-15_prm_1 INSERT into si-15 [NO PARAMETER VALUE GIVEN] to ensure that the information is consistent with the expected content. |
Supplemental guidance
Certain types of cyber attacks (e.g., SQL injections) produce output results that are unexpected or inconsistent with the output results that would normally be expected from software programs or applications. This control enhancement focuses on detecting extraneous content, preventing such extraneous content from being displayed, and alerting monitoring tools that anomalous behavior has been discovered.
Objectives
|
Determine if:
|
Assessment: EXAMINE
System and information integrity policy
procedures addressing information output filtering
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibility for validating information output
organizational personnel with information security responsibilities
system/network administrators
system developer
Assessment: TEST
Organizational processes for validating information output
automated mechanisms supporting and/or implementing information output validation
References: None
SI-16 MEMORY PROTECTION
Label: INSERT into si-16
Parameter: si-16_prm_1 organization-defined security safeguards
Control
|
The information system implements si-16_prm_1 INSERT into si-16 [NO PARAMETER VALUE GIVEN] to protect its memory from unauthorized code execution. |
Supplemental guidance
Some adversaries launch attacks with the intent of executing code in non-executable regions of memory or in memory locations that are prohibited. Security safeguards employed to protect memory include, for example, data execution prevention and address space layout randomization. Data execution prevention safeguards can either be hardware-enforced or software-enforced with hardware providing the greater strength of mechanism.
Objectives
|
Determine if:
|
Assessment: EXAMINE
System and information integrity policy
procedures addressing memory protection for the information system
information system design documentation
information system configuration settings and associated documentation
list of security safeguards protecting information system memory from unauthorized code execution
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibility for memory protection
organizational personnel with information security responsibilities
system/network administrators
system developer
Assessment: TEST
Automated mechanisms supporting and/or implementing safeguards to protect information system memory from unauthorized code execution
References: None
SI-17 FAIL-SAFE PROCEDURES
Label: INSERT into si-17
Parameter: si-17_prm_1 organization-defined fail-safe procedures
Label: INSERT into si-17
Parameter: si-17_prm_2 organization-defined failure conditions occur
Control
|
The information system implements si-17_prm_1 INSERT into si-17 [NO PARAMETER VALUE GIVEN] when si-17_prm_2 INSERT into si-17 [NO PARAMETER VALUE GIVEN] . |
Supplemental guidance
Failure conditions include, for example, loss of communications among critical system components or between system components and operational facilities. Fail-safe procedures include, for example, alerting operator personnel and providing specific instructions on subsequent steps to take (e.g., do nothing, reestablish system settings, shut down processes, restart the system, or contact designated organizational personnel).
Objectives
|
Determine if:
|
Assessment: EXAMINE
System and information integrity policy
procedures addressing memory protection for the information system
information system design documentation
information system configuration settings and associated documentation
list of security safeguards protecting information system memory from unauthorized code execution
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibility for fail-safe procedures
organizational personnel with information security responsibilities
system/network administrators
system developer
Assessment: TEST
Organizational fail-safe procedures
automated mechanisms supporting and/or implementing fail-safe procedures
References: None
PROGRAM MANAGEMENT
PM-1 INFORMATION SECURITY PROGRAM PLAN
Label: INSERT into pm-1_smt_b (PM-1b.)
Parameter: pm-1_prm_1 organization-defined frequency
Control
|
The organization:
|
Supplemental guidance
Information security program plans can be represented in single documents or compilations of documents at the discretion of organizations. The plans document the program management controls and organization-defined common controls. Information security program plans provide sufficient information about the program management controls/common controls (including specification of parameters for any assignment and selection statements either explicitly or by reference) to enable implementations that are unambiguously compliant with the intent of the plans and a determination of the risk to be incurred if the plans are implemented as intended. The security plans for individual information systems and the organization-wide information security program plan together, provide complete coverage for all security controls employed within the organization. Common controls are documented in an appendix to the organization’s information security program plan unless the controls are included in a separate security plan for an information system (e.g., security controls employed as part of an intrusion detection system providing organization-wide boundary protection inherited by one or more organizational information systems). The organization-wide information security program plan will indicate which separate security plans contain descriptions of common controls. Organizations have the flexibility to describe common controls in a single document or in multiple documents. In the case of multiple documents, the documents describing common controls are included as attachments to the information security program plan. If the information security program plan contains multiple documents, the organization specifies in each document the organizational official or officials responsible for the development, implementation, assessment, authorization, and monitoring of the respective common controls. For example, the organization may require that the Facilities Management Office develop, implement, assess, authorize, and continuously monitor common physical and environmental protection controls from the PE family when such controls are not associated with a particular information system but instead, support multiple information systems.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Information security program plan
procedures addressing program plan development and implementation
procedures addressing program plan reviews and updates
procedures addressing coordination of the program plan with relevant entities
procedures for program plan approvals
records of program plan reviews and updates
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information security program planning and plan implementation responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for information security program plan development/review/update/approval
automated mechanisms supporting and/or implementing the information security program plan
References: None
PM-2 SENIOR INFORMATION SECURITY OFFICER
Control
|
The organization appoints a senior information security officer with the mission and resources to coordinate, develop, implement, and maintain an organization-wide information security program. |
Supplemental guidance
The security officer described in this control is an organizational official. For a federal agency (as defined in applicable federal laws, Executive Orders, directives, policies, or regulations) this official is the Senior Agency Information Security Officer. Organizations may also refer to this official as the Senior Information Security Officer or Chief Information Security Officer.
Objectives
|
Determine if the organization appoints a senior information security officer with the mission and resources to:
|
Assessment: EXAMINE
Information security program plan
procedures addressing program plan development and implementation
procedures addressing program plan reviews and updates
procedures addressing coordination of the program plan with relevant entities
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information security program planning and plan implementation responsibilities
senior information security officer
organizational personnel with information security responsibilities
References: None
PM-3 INFORMATION SECURITY RESOURCES
Control
|
The organization:
|
Supplemental guidance
Organizations consider establishing champions for information security efforts and as part of including the necessary resources, assign specialized expertise and resources as needed. Organizations may designate and empower an Investment Review Board (or similar group) to manage and provide oversight for the information security-related aspects of the capital planning and investment control process.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Information security program plan
Exhibits 300
Exhibits 53
business cases for capital planning and investment
procedures for capital planning and investment
documentation of exceptions to capital planning requirements
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information security program planning responsibilities
organizational personnel responsible for capital planning and investment
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for capital planning and investment
organizational processes for business case/Exhibit 300/Exhibit 53 development
automated mechanisms supporting the capital planning and investment process
References
PM-4 PLAN OF ACTION AND MILESTONES PROCESS
Control
|
The organization:
|
Supplemental guidance
The plan of action and milestones is a key document in the information security program and is subject to federal reporting requirements established by OMB. With the increasing emphasis on organization-wide risk management across all three tiers in the risk management hierarchy (i.e., organization, mission/business process, and information system), organizations view plans of action and milestones from an organizational perspective, prioritizing risk response actions and ensuring consistency with the goals and objectives of the organization. Plan of action and milestones updates are based on findings from security control assessments and continuous monitoring activities. OMB FISMA reporting guidance contains instructions regarding organizational plans of action and milestones.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Information security program plan
plans of action and milestones
procedures addressing plans of action and milestones development and maintenance
procedures addressing plans of action and milestones reporting
procedures for review of plans of action and milestones for consistency with risk management strategy and risk response priorities
results of risk assessments associated with plans of action and milestones
OMB FISMA reporting requirements
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibility for developing, maintaining, reviewing, and reporting plans of action and milestones
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for plan of action and milestones development, review, maintenance, reporting
automated mechanisms supporting plans of action and milestones
PM-5 INFORMATION SYSTEM INVENTORY
Control
|
The organization develops and maintains an inventory of its information systems. |
Supplemental guidance
This control addresses the inventory requirements in FISMA. OMB provides guidance on developing information systems inventories and associated reporting requirements. For specific information system inventory reporting requirements, organizations consult OMB annual FISMA reporting guidance.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Information security program plan
information system inventory
procedures addressing information system inventory development and maintenance
OMB FISMA reporting guidance
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information security program planning and plan implementation responsibilities
organizational personnel responsible for developing and maintaining the information system inventory
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for information system inventory development and maintenance
automated mechanisms supporting the information system inventory
References
PM-6 INFORMATION SECURITY MEASURES OF PERFORMANCE
Control
|
The organization develops, monitors, and reports on the results of information security measures of performance. |
Supplemental guidance
Measures of performance are outcome-based metrics used by an organization to measure the effectiveness or efficiency of the information security program and the security controls employed in support of the program.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Information security program plan
information security measures of performance
procedures addressing development, monitoring, and reporting of information security measures of performance
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information security program planning and plan implementation responsibilities
organizational personnel responsible for developing, monitoring, and reporting information security measures of performance
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for developing, monitoring, and reporting information security measures of performance
automated mechanisms supporting the development, monitoring, and reporting of information security measures of performance
References
PM-7 ENTERPRISE ARCHITECTURE
Control
|
The organization develops an enterprise architecture with consideration for information security and the resulting risk to organizational operations, organizational assets, individuals, other organizations, and the Nation. |
Supplemental guidance
The enterprise architecture developed by the organization is aligned with the Federal Enterprise Architecture. The integration of information security requirements and associated security controls into the organization’s enterprise architecture helps to ensure that security considerations are addressed by organizations early in the system development life cycle and are directly and explicitly related to the organization’s mission/business processes. This process of security requirements integration also embeds into the enterprise architecture, an integral information security architecture consistent with organizational risk management and information security strategies. For PM-7, the information security architecture is developed at a system-of-systems level (organization-wide), representing all of the organizational information systems. For PL-8, the information security architecture is developed at a level representing an individual information system but at the same time, is consistent with the information security architecture defined for the organization. Security requirements and security control integration are most effectively accomplished through the application of the Risk Management Framework and supporting security standards and guidelines. The Federal Segment Architecture Methodology provides guidance on integrating information security requirements and security controls into enterprise architectures.
cf PL-8: INFORMATION SECURITY ARCHITECTURE
cf PM-11: MISSION/BUSINESS PROCESS DEFINITION
Objectives
|
Determine if the organization develops an enterprise architecture with consideration for:
|
Assessment: EXAMINE
Information security program plan
enterprise architecture documentation
procedures addressing enterprise architecture development
results of risk assessment of enterprise architecture
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information security program planning and plan implementation responsibilities
organizational personnel responsible for developing enterprise architecture
organizational personnel responsible for risk assessment of enterprise architecture
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for enterprise architecture development
automated mechanisms supporting the enterprise architecture and its development
References
PM-8 CRITICAL INFRASTRUCTURE PLAN
Control
|
The organization addresses information security issues in the development, documentation, and updating of a critical infrastructure and key resources protection plan. |
Supplemental guidance
Protection strategies are based on the prioritization of critical assets and resources. The requirement and guidance for defining critical infrastructure and key resources and for preparing an associated critical infrastructure protection plan are found in applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance.
cf PM-1: INFORMATION SECURITY PROGRAM PLAN
cf PM-9: RISK MANAGEMENT STRATEGY
Objectives
|
Determine if the organization addresses information security issues in the:
|
Assessment: EXAMINE
Information security program plan
critical infrastructure and key resources protection plan
procedures addressing development, documentation, and updating of the critical infrastructure and key resources protection plan
HSPD 7
National Infrastructure Protection Plan
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information security program planning and plan implementation responsibilities
organizational personnel responsible for developing, documenting, and updating the critical infrastructure and key resources protection plan
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for developing, documenting, and updating the critical infrastructure and key resources protection plan
automated mechanisms supporting the development, documentation, and updating of the critical infrastructure and key resources protection plan
PM-9 RISK MANAGEMENT STRATEGY
Label: INSERT into pm-9_smt_c (PM-9c.)
Parameter: pm-9_prm_1 organization-defined frequency
Control
|
The organization:
|
Supplemental guidance
An organization-wide risk management strategy includes, for example, an unambiguous expression of the risk tolerance for the organization, acceptable risk assessment methodologies, risk mitigation strategies, a process for consistently evaluating risk across the organization with respect to the organization’s risk tolerance, and approaches for monitoring risk over time. The use of a risk executive function can facilitate consistent, organization-wide application of the risk management strategy. The organization-wide risk management strategy can be informed by risk-related inputs from other sources both internal and external to the organization to ensure the strategy is both broad-based and comprehensive.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Information security program plan
risk management strategy
procedures addressing development, implementation, review, and update of the risk management strategy
risk assessment results relevant to the risk management strategy
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information security program planning and plan implementation responsibilities
organizational personnel responsible for development, implementation, review, and update of the risk management strategy
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for development, implementation, review, and update of the risk management strategy
automated mechanisms supporting the development, implementation, review, and update of the risk management strategy
PM-10 SECURITY AUTHORIZATION PROCESS
Control
|
The organization:
|
Supplemental guidance
Security authorization processes for information systems and environments of operation require the implementation of an organization-wide risk management process, a Risk Management Framework, and associated security standards and guidelines. Specific roles within the risk management process include an organizational risk executive (function) and designated authorizing officials for each organizational information system and common control provider. Security authorization processes are integrated with organizational continuous monitoring processes to facilitate ongoing understanding and acceptance of risk to organizational operations and assets, individuals, other organizations, and the Nation.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Information security program plan
procedures addressing management (i.e., documentation, tracking, and reporting) of the security authorization process
security authorization documents
lists or other documentation about security authorization process roles and responsibilities
risk assessment results relevant to the security authorization process and the organization-wide risk management program
organizational risk management strategy
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information security program planning and plan implementation responsibilities
organizational personnel responsible for management of the security authorization process
authorizing officials
system owners, senior information security officer
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for security authorization
automated mechanisms supporting the security authorization process
PM-11 MISSION/BUSINESS PROCESS DEFINITION
Control
|
The organization:
|
Supplemental guidance
Information protection needs are technology-independent, required capabilities to counter threats to organizations, individuals, or the Nation through the compromise of information (i.e., loss of confidentiality, integrity, or availability). Information protection needs are derived from the mission/business needs defined by the organization, the mission/business processes selected to meet the stated needs, and the organizational risk management strategy. Information protection needs determine the required security controls for the organization and the associated information systems supporting the mission/business processes. Inherent in defining an organization’s information protection needs is an understanding of the level of adverse impact that could result if a compromise of information occurs. The security categorization process is used to make such potential impact determinations. Mission/business process definitions and associated information protection requirements are documented by the organization in accordance with organizational policy and procedure.
cf PM-7: ENTERPRISE ARCHITECTURE
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Information security program plan
risk management strategy
procedures for determining mission/business protection needs
risk assessment results relevant to determination of mission/business protection needs
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information security program planning and plan implementation responsibilities
organizational personnel responsible for mission/business processes
organizational personnel responsible for determining information protection needs for mission/business processes
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for defining mission/business processes and their information protection needs
PM-12 INSIDER THREAT PROGRAM
Control
|
The organization implements an insider threat program that includes a cross-discipline insider threat incident handling team. |
Supplemental guidance
Organizations handling classified information are required, under Executive Order 13587 and the National Policy on Insider Threat, to establish insider threat programs. The standards and guidelines that apply to insider threat programs in classified environments can also be employed effectively to improve the security of Controlled Unclassified Information in non-national security systems. Insider threat programs include security controls to detect and prevent malicious insider activity through the centralized integration and analysis of both technical and non-technical information to identify potential insider threat concerns. A senior organizational official is designated by the department/agency head as the responsible individual to implement and provide oversight for the program. In addition to the centralized integration and analysis capability, insider threat programs as a minimum, prepare department/agency insider threat policies and implementation plans, conduct host-based user monitoring of individual employee activities on government-owned classified computers, provide insider threat awareness training to employees, receive access to information from all offices within the department/agency (e.g., human resources, legal, physical security, personnel security, information technology, information system security, and law enforcement) for insider threat analysis, and conduct self-assessments of department/agency insider threat posture. Insider threat programs can leverage the existence of incident handling teams organizations may already have in place, such as computer security incident response teams. Human resources records are especially important in this effort, as there is compelling evidence to show that some types of insider crimes are often preceded by nontechnical behaviors in the workplace (e.g., ongoing patterns of disgruntled behavior and conflicts with coworkers and other colleagues). These precursors can better inform and guide organizational officials in more focused, targeted monitoring efforts. The participation of a legal team is important to ensure that all monitoring activities are performed in accordance with appropriate legislation, directives, regulations, policies, standards, and guidelines.
cf AT-2: SECURITY AWARENESS TRAINING
cf AU-6: AUDIT REVIEW, ANALYSIS, AND REPORTING
cf AU-7: AUDIT REDUCTION AND REPORT GENERATION
cf AU-13: MONITORING FOR INFORMATION DISCLOSURE
cf CA-7: CONTINUOUS MONITORING
cf IA-4: IDENTIFIER MANAGEMENT
cf PE-2: PHYSICAL ACCESS AUTHORIZATIONS
cf PS-4: PERSONNEL TERMINATION
cf SI-4: INFORMATION SYSTEM MONITORING
Objective
|
Determine if the organization implements an insider threat program that includes a cross-discipline insider threat incident handling team. |
Assessment: EXAMINE
Information security program plan
insider threat program documentation
procedures for the insider threat program
risk assessment results relevant to insider threats
list or other documentation on the cross-discipline insider threat incident handling team
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information security program planning and plan implementation responsibilities
organizational personnel responsible for the insider threat program
members of the cross-discipline insider threat incident handling team
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for implementing the insider threat program and the cross-discipline insider threat incident handling team
automated mechanisms supporting and/or implementing the insider threat program and the cross-discipline insider threat incident handling team
References
PM-13 INFORMATION SECURITY WORKFORCE
Control
|
The organization establishes an information security workforce development and improvement program. |
Supplemental guidance
Information security workforce development and improvement programs include, for example: (i) defining the knowledge and skill levels needed to perform information security duties and tasks; (ii) developing role-based training programs for individuals assigned information security roles and responsibilities; and (iii) providing standards for measuring and building individual qualifications for incumbents and applicants for information security-related positions. Such workforce programs can also include associated information security career paths to encourage: (i) information security professionals to advance in the field and fill positions with greater responsibility; and (ii) organizations to fill information security-related positions with qualified personnel. Information security workforce development and improvement programs are complementary to organizational security awareness and training programs. Information security workforce development and improvement programs focus on developing and institutionalizing core information security capabilities of selected personnel needed to protect organizational operations, assets, and individuals.
Objective
|
Determine if the organization establishes an information security workforce development and improvement program. |
Assessment: EXAMINE
Information security program plan
information security workforce development and improvement program documentation
procedures for the information security workforce development and improvement program
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information security program planning and plan implementation responsibilities
organizational personnel responsible for the information security workforce development and improvement program
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for implementing information security workforce development and improvement program
automated mechanisms supporting and/or implementing the information security workforce development and improvement program
References: None
PM-14 TESTING, TRAINING, AND MONITORING
Control
|
The organization:
|
Supplemental guidance
This control ensures that organizations provide oversight for the security testing, training, and monitoring activities conducted organization-wide and that those activities are coordinated. With the importance of continuous monitoring programs, the implementation of information security across the three tiers of the risk management hierarchy, and the widespread use of common controls, organizations coordinate and consolidate the testing and monitoring activities that are routinely conducted as part of ongoing organizational assessments supporting a variety of security controls. Security training activities, while typically focused on individual information systems and specific roles, also necessitate coordination across all organizational elements. Testing, training, and monitoring plans and activities are informed by current threat and vulnerability assessments.
cf AT-3: ROLE-BASED SECURITY TRAINING
cf CA-7: CONTINUOUS MONITORING
cf CP-4: CONTINGENCY PLAN TESTING
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Information security program plan
plans for conducting security testing, training, and monitoring activities
organizational procedures addressing development and maintenance of plans for conducting security testing, training, and monitoring activities
risk management strategy
procedures for review of plans for conducting security testing, training, and monitoring activities for consistency with risk management strategy and risk response priorities
results of risk assessments associated with conducting security testing, training, and monitoring activities
evidence that plans for conducting security testing, training, and monitoring activities are executed in a timely manner
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibility for developing and maintaining plans for conducting security testing, training, and monitoring activities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for development and maintenance of plans for conducting security testing, training, and monitoring activities
automated mechanisms supporting development and maintenance of plans for conducting security testing, training, and monitoring activities
PM-15 CONTACTS WITH SECURITY GROUPS AND ASSOCIATIONS
Control
|
The organization establishes and institutionalizes contact with selected groups and associations within the security community:
|
Supplemental guidance
Ongoing contact with security groups and associations is of paramount importance in an environment of rapidly changing technologies and threats. Security groups and associations include, for example, special interest groups, forums, professional associations, news groups, and/or peer groups of security professionals in similar organizations. Organizations select groups and associations based on organizational missions/business functions. Organizations share threat, vulnerability, and incident information consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance.
Objectives
|
Determine if the organization establishes and institutionalizes contact with selected groups and associations with the security community to:
|
Assessment: EXAMINE
Information security program plan
risk management strategy
procedures for contacts with security groups and associations
evidence of established and institutionalized contact with security groups and associations
lists or other documentation about contact with and/or membership in security groups and associations
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information security program planning and plan implementation responsibilities
organizational personnel responsible for establishing and institutionalizing contact with security groups and associations
organizational personnel with information security responsibilities
personnel from selected groups and associations with which the organization has established and institutionalized contact
Assessment: TEST
Organizational processes for establishing and institutionalizing contact with security groups and associations
automated mechanisms supporting contacts with security groups and associations
References: None
PM-16 THREAT AWARENESS PROGRAM
Control
|
The organization implements a threat awareness program that includes a cross-organization information-sharing capability. |
Supplemental guidance
Because of the constantly changing and increasing sophistication of adversaries, especially the advanced persistent threat (APT), it is becoming more likely that adversaries may successfully breach or compromise organizational information systems. One of the best techniques to address this concern is for organizations to share threat information. This can include, for example, sharing threat events (i.e., tactics, techniques, and procedures) that organizations have experienced, mitigations that organizations have found are effective against certain types of threats, threat intelligence (i.e., indications and warnings about threats that are likely to occur). Threat information sharing may be bilateral (e.g., government-commercial cooperatives, government-government cooperatives), or multilateral (e.g., organizations taking part in threat-sharing consortia). Threat information may be highly sensitive requiring special agreements and protection, or less sensitive and freely shared.
Objective
|
Determine if the organization implements a threat awareness program that includes a cross-organization information-sharing capability. |
Assessment: EXAMINE
Information security program plan
threat awareness program documentation
procedures for the threat awareness program
risk assessment results relevant to threat awareness
list or other documentation on the cross-organization information-sharing capability
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information security program planning and plan implementation responsibilities
organizational personnel responsible for the threat awareness program
organizational personnel with responsibility for the cross-organization information-sharing capability
organizational personnel with information security responsibilities
personnel with whom threat awareness information is shared by the organization
Assessment: TEST
Organizational processes for implementing the threat awareness program
Organizational processes for implementing the cross-organization information-sharing capability
automated mechanisms supporting and/or implementing the threat awareness program
automated mechanisms supporting and/or implementing the cross-organization information-sharing capability